BROWSE BY TOPIC
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Wall Street News
- Bad Brokers
- Investments - Private
- Rules & Regulations
- Bad Advisors
- Boiler Rooms
- Terminations/Cost Cutting
- General News
- Donald Trump & Co.
- Big Banks
- Regulatory Sanctions
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
Mary Schapiro Joins Morgan Stanley Board of Directors
Mary Schapiro, 63, was elected to the Board of Directors of Morgan Stanley. She currently is Vice Chair of Promontory Advisory Board and was the first woman to serve as Chair of the SEC.
MARY SCHAPIRO'S CREDENTIALS. Mary Schapiro joined Promontory Financial Group as Managing Director in March 2013 and served in that role until January 2014, when she became Vice Chair of Promontory Advisory Board, part of Promontory Financial Group, a leading strategy, risk management and regulatory compliance firm that was acquired by IBM Corporation in November 2016. Since 2014 she has also served as Vice Chair of the Sustainability Accounting Standards Board.
Prior to joining Promontory, Ms. Schapiro:
- served as Chair of the SEC from January 2009 through December 2012.
- served as Chair and CEO of FINRA from 2006 through 2008.
- held a number of key executive positions at FINRA and its predecessor, NASD, from 1996 through 2006, including Vice Chair and President of NASD Regulation.
- was Chair of the CFTC from 1994 to 1996 (and was the first person to Chair both the SEC and the CFTC).
She currently serves on the boards of CVS Health Corporation and The London Stock Exchange Group. She also serves on the Advisory Board of the Morgan Stanley Institute for Sustainable Investing. Ms. Schapiro holds a J.D. from George Washington Law, and BA from Franklin and Marshall College (where she's a Trustee).