Mary schapiro
Federal judge's ruling could change prosecution of Wall Street
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Legal experts see potential effects of Rakoff's SEC-Citi ruling for major banks' settlements
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Finra must improve after misleading regulator, order says
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SEC proposal to remove ratings shows difficulty ahead for other US regulators, including banking agencies
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More Mary schapiro articles
SEC has flexibility on Dodd-Frank implementation, says Schapiro
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The US Securities and Exchange Commission is at the forefront of efforts to reform the over-the-counter derivatives market and prevent another flash crash. At the same time, it has also been trying to fix its own failings, highlighted by the Madoff scandal....
CFTC and SEC could diverge on rules, says Schapiro
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SEC chair says Dodd-Frank Act should be adapted to fit markets
More ETFs face SEC trade curbs
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Exchange-traded funds (ETFs) will fall under new circuit breaker rules.
US regulators call for circuit-breakers but exchange risks remain, says...
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Proposed rule changes from Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (Finra) are a good but incomplete solution to operational risk within exchange infrastructures
Hedge funds targeted by SEC large-trader reporting proposal
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An SEC proposal targets high-frequency trading and fund managers in particular.
SEC’s Schapiro: compliance professionals play ‘critical role’
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Chairman of the US Securities and Exchange Commission (SEC) Mary Schapiro has reminded compliance officers of their “critical role” in protecting investors and ensuring the proper functioning of financial markets. “As one of the first lines...
US regulators demand more OTC derivatives data
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During the initial session of the second day of the US Financial Crisis Inquiry Commission, regulators requested that more information on OTC derivatives transactions be made available to supervisors. US Securities and Exchange Commission chairman Mary...
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