Brokerage firms and their executives cannot use threats regarding research activities as a way to obtain investment banking business. The threat to drop research coverage if Piper were not selected as the lead underwriter for a secondary offering was totally… — Mary Schapiro Copy Share Image
Too often, investors are the target of fraudulent schemes disguised as investment opportunities. As you know, if the balance is tipped to the point where investors are not confident that there are appropriate protections, investors will lose confidence in our… — Mary Schapiro Copy Share Image
Every morning when I pick up the newspaper and read about an earthquake in Japan or problems in European financial institutions, the first question… — Mary Schapiro Copy Share Image
The SEC got more than 100 rules to write under Dodd-Frank, the lion's share of all the agencies. And we've moved, I think, with… — Mary Schapiro Copy Share Image
It has been an incredibly rewarding experience to work with so many dedicated SEC staff who strive every day to protect investors and ensure… — Mary Schapiro Copy Share Image
There are no absolutes in this world, and there will always be mistakes that are made within brokerage firms; there will always be people… — Mary Schapiro Copy Share Image
Brokerage firms and their executives cannot use threats regarding research activities as a way to obtain investment banking business. The threat to drop research… — Mary Schapiro Copy Share Image
In my case, there's no revolving door... I won't be going back to government. — Mary Schapiro Copy Share Image
I don't feel any pressure at all to go along with anybody. I feel pressure to do the right thing for U.S. markets and… — Mary Schapiro Copy Share Image
We have new rules that give shareholders the ability to vote on executive compensation. We have new rules for asset-backed securities. We have new… — Mary Schapiro Copy Share Image
Too often, investors are the target of fraudulent schemes disguised as investment opportunities. As you know, if the balance is tipped to the point… — Mary Schapiro Copy Share Image
Under the Dodd-Frank law, the SEC got the lion's share of the rules to write, more than 100 rules, and we have done an… — Mary Schapiro Copy Share Image
The SEC has actually progressively loosened up the rules and recognized the value of social media, but the goal is always going to be… — Mary Schapiro Copy Share Image
