Tag: Kara Stein
Elad Roisman Sworn in as SEC Commissioner
Elad Roisman was sworn in as an SEC commissioner on Tuesday by Chairman Jay Clayton following his confirmation by the Senate last week. His...
Senate Confirms Elad Roisman as Fifth SEC Commissioner
The Senate confirmed Elad Roisman in an 85-14 vote on Wednesday to serve as a member of the Securities and Exchange Commission, replacing Michael...
SEC Chairman Clayton: Broker Sales Contests Should Be Eliminated
In a statement released on Wednesday, Securities and Exchange Commission chairman Jay Clayton said that it is in the best interest of Main Street...
Commissioner Michael Piwowar to Resign from SEC
The Securities and Exchange Commission announced that commissioner Michael Piwowar plans to leave the agency at the end of his term this summer. Piwowar...
SEC Submits “Fiduciary Rules” for Public Comment
The Securities and Exchange Commission voted 4-1 yesterday to seek public comment on its proposed best interest rule for brokers, a new broker-client relationship...
