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
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 a tremendous sense of urgency. But it takes a long time to write rules and get them approved by a five-member commission. — Mary Schapiro Copy Share
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
