Event Photos

Mary Schapiro: Why the SEC has a hard time regulating advisers

The sheer number of advisers plus a lack of resources, makes it difficult for the SEC to keep tabs on the financial advisory industry, according to former SEC Chairwoman Mary Schapiro. Plus, find out how she feels partisan politics impacts the SEC.

Photos from the Event

Sponsored by

You're invited to join InvestmentNews and the Investment Program Association (IPA) at the 5th annual Women’s Forum: Focus on Leadership.

Register now for only $149!


For More Information...

Join the Conversation

Follow us on Twitter to participate in the most important conversation impacting our industry, and network with other financial advisers who are attending the Forum.

Don't miss today's webcast @ 4pm ET! An Adviser's Guide to Developing NextGen Talent https://t.co/zpUIBVfDwkTuesday, Aug 01, 2017 11:28AM @eventsFromIN Is your firm the best place to work? Nominate it! You just might find it on the winners list. https://t.co/MMNr2jfjy1 #INbestplacesThursday, Jul 27, 2017 10:00AM @eventsFromIN What is #INbestplaces? By far one of the most exciting -- and ambitious -- initiatives ever launched by @newsfromIN https://t.co/MMNr2iXIGtWednesday, Jul 26, 2017 10:30AM @eventsFromIN