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- More Questions About Schapiro AS SEC Chief
- Huffington Post blogger and business author Dan Solin has some nasty things to say about Mary Schapiro, Barack Obama's choice to head the Securities & Exchange Commission. Since I had touched on some of the same complaints, albeit not as forcefully, I thought I'd give Solin a chance to vent....
- Blog posts 2008-12-24
- Why We Need a New Agency to Protect Consumers
- Harvard Law professor and TARP overseer Elizabeth Warren explains why Obama?s proposed new watchdog would help bankers as much as consumers. Unlike many other consumer crusaders, Warren had the clout to get her ideas taken seriously. The head of the congressional panel overseeing ...
- Articles 2009-07-10
- Pequot referred to SEC 45 times in four years
- Stock exchange monitors referred Pequot Capital Management to the Securities and Exchange Commission for possible securities violations, including insider trading, at least 45 times between 2005 and this year, the commission has revealed in a letter to the US Congress. The SEC is probing allegations that Arthur Samberg, the hedge...
- News items 2009-08-12
Additional Resources
- Schapiro leaves CFTC. (Commodity Futures Trading Commission Chairman Mary Schapiro resigns)
- Mary Schapiro has resigned after serving for only 15 months as chairman of the Commodity Futures Trading Commission CFTC. She has accepted an offer to head the new regulatory arm of the National Assn. of Securities Dealers NASD. She insists that her dMary Schapiro has resigned after serving for only...
- Research articles 1996-02-01
- FINRA CEO Mary Schapiro Interviewed by EQUITIES Magazine
- EQUITIES Magazine proudly announces the release of its Sept. issue, featuring as its cover story an interview with Mary Schapiro. Schapiro is the CEO of the new Financial Industry Regulatory Authority, which was created when the National Association of Securities Dealers merged with NYSE Regulation in 2006. The EQUITIES interview...
- Research articles 2007-09-12
- Mary Schapiro to Take Helm at NASD?
- Is Mary Schapiro waiting in the wings to succeed NASD Chairman and CEO Robert Glauber? "She's not happy being the number two to him," one source told Traders Magazine. Is Mary Schapiro waiting in the wings to succeed NASD Chairman and CEO Robert Glauber? "She's not happy being the...
- Research articles 2005-03-01
- Mary Schapiro to Take Helm at NASD?(National Association of Securities Dealers)(Brief Article)
- Is Mary Schapiro waiting in the wings to succeed NASD Chairman and CEO Robert Glauber? "She's not happy being the number two to him," one source told Traders Magazine. Is Mary Schapiro waiting in the wings to succeed NASD Chairman and CEO Robert Glauber?...
- Research articles 2005-03-01
- New NASD chief faces 'hostile' environment; Schapiro reaches out, but trust has been lost, observers say.(News)
- Byline: Dan Jamieson Mary Schapiro has a fight on her hands. Ms. Schapiro, who this month became chairman and chief executive of NASD in Washington, is facing an uprising from broker-dealers who say they've had enough...
- Research articles 2006-09-11
- NASD's Schapiro is walking tall.(Reverse Spin)
- Byline: Frederick P. Gabriel Jr. If revenge is sweet, NASD vice chairwoman Mary Schapiro might want to see a dentist. NASD on Thursday said that she had been elected to succeed outgoing chairman and chief executive...
- Research articles 2006-01-16
- After merger vote, all eyes focusing on Schapiro; Reg chief has promises to keep in wake of hard-fought battle.(News)
- Byline: Dan Jamieson IRVINE, Calif. - Fresh from winning her membership's support of the merger with the NYSE Group Inc.'s regulatory unit, NASD chief executive Mary Schapiro now is under the gun to fulfill promises made to broker-dealers dur ...
- Research articles 2007-01-29
- Schapiro plans to reach out to brokers; NASD honcho to meet with firms.(News)
- Byline: Bruce Kelly SAN DIEGO - Mary Schapiro is coming to a broker-dealer near you. As part of her effort as NASD's incoming chairman and chief executive to reach out to broker-dealers, she intends to hit the...
- Research articles 2006-01-30
- NASD names Schapiro to replace CEO
- The NASD, which regulates the nation's stock brokerage firms, announced Thursday that Mary Schapiro would assume the title of chairman and CEO in December, succeeding Robert Glauber. The move is hardly a surprise, because Schapiro has headed up the NASD's regulatory efforts for the past decade. But it is...
- Research articles 2006-01-13
- Financial Roundup: Pandit's Future? Citi May Get $10 Billion, Schapiro in Lawsuits, Frank Offers Bailout Roadmap and More
- Will Vikram Pandit survive? Citigroup's CEO has gotten a public boost of confidence from his board, which management guru Jack Black says is typically one step from dismissal. Troubled Citi should post a $10 billion operating loss. [Source: Market Movers] Citi might get $10 billion from Smith...
- Blog posts 2009-01-12
- Fast Track
- *Mary Schapiro succeeded Robert Glauber as chairman and chief executive of NASD. Schapiro ran the NASD's regulation unit from 1996. Before that, Schapiro was chairman of the Commodity Futures Trading Commission and was previously a commissioner with the *Mary Schapiro succeeded Robert Glauber as chairman and chief executive of...
- Research articles 2006-02-01
- Fast Track.
- *Mary Schapiro succeeded Robert Glauber as chairman and chief executive of NASD. Schapiro ran the NASD's regulation unit from 1996. Before that, Schapiro was chairman of the Commodity Futures Trading Commission and was previously a commissioner with *Mary Schapiro succeeded Robert Glauber as chairman and...
- Research articles 2006-02-01
- Schapiro Set To Become NASD'S First female CEO
- The NASD named Mary L. Schapiro as the next chairman and chief executive officer of the self-regulatory organization. It's the first time that a woman will run the primary private watchdog group of the brokerage industry. Schapiro, 50, will take over in The NASD named Mary L. Schapiro as...
- Research articles 2006-03-01
- SEC Seeks Alternative Uptick Rule
- The Securities and Exchange Commission announced August 17 that it is seeking public comment on an alternative approach to short selling price test restrictions that the Commission says "may be more effective and easier to implement than previously proposed price test restrictions currently under consideration." According to the SEC, the...
- News items 2009-08-19
- SCHAPIRO TAKES CONTROL FROM GLAUBER AT NASD
- Mary L. Schapiro has officially taken the reins of the NASD from Robert R. Glauber-though it's several months earlier than originally expected. The shift in leadership, which occurred Sept. 1, marks the first time that a woman will run the primary private Mary L. Schapiro has officially taken the reins...
- Research articles 2006-10-01
- US SEC warns on broker-dealer pay incentives
- Reuters WASHINGTON - US regulators have warned broker-dealer firms about creating incentives that may lead their brokers to engage in questionable conduct such as recommending unsuitable investment products, the Securities and Exchange Commission said. "Certain forms of potential compensation may carry with them enhanced risks to customers," SEC chairman Mary...
- News items 2009-08-31
- NASD to monitor brokers with electronic system.
- Regulators will soon begin using a powerful new electronic system to detect problems at brokerage houses. Mary Schapiro, president of NASD Regulation Inc., described the system late last month at the North American Securities Administrators A Regulators will...
- Research articles 2001-05-14
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