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Mary Schapiro
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91	VIA ELECTRONIC MAIL April 17, 2014 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-18 09:41:52 Finance Registered Investment Advisor Financial Industry Regulatory Authority Mary Schapiro Financial adviser Registered representative U.S. Securities and Exchange Commission Broker-dealer United States securities law Financial economics Business
92	Microsoft Word[removed]Final letter to SEC on SDR registration.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-01-18 14:23:43 Trade Repository Administrative law Commodity Futures Trading Commission Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Esma Mary Schapiro Rulemaking Financial regulation Government Public administration
93 $SPENCER BACHUS. AL, CHAIRMAN 1J.:lnirrd tStatcs iltoUSf of l\cprcscntatillrs BARNEY FRANK, MA, RANKING MEMBER$	SPENCER BACHUS. AL, CHAIRMAN 1J.:lnirrd tStatcs iltoUSf of l\cprcscntatillrs BARNEY FRANK, MA, RANKING MEMBER Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-21 16:54:27 United States Securities and Exchange Commission Corporate crime U.S. Securities and Exchange Commission Government Financial economics Dodd–Frank Wall Street Reform and Consumer Protection Act Mary Schapiro Securities Exchange Act Christopher Cox United States securities law Financial regulation 73rd United States Congress
94	Home \| Previous Page Remarks at the Transatlantic Corporate Governance Dialogue by Chairman Mary L. Schapiro Add to Reading List Source URL: www.ecgi.org Language: English - Date: 2012-01-08 11:46:22 Corporations law Stock market Law Mergers and acquisitions Proxy statement Corporate governance Corporate law Dodd–Frank Wall Street Reform and Consumer Protection Act Board of directors Business SEC filings Management
95	Microsoft Word - RajgopalDeHaanKediaKoh.docx Add to Reading List Source URL: aaahq.org Language: English - Date: 2012-07-19 10:45:27 Government Public administration Financial regulation Gary J. Aguirre Corporate crime U.S. Securities and Exchange Commission Mary Schapiro
96	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-06-03 09:43:21 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Self-regulatory organization Selling away Mary Schapiro United States securities law Financial economics Financial system
97	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-08 10:26:57 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Selling away Mary Schapiro United States securities law Financial economics Financial system
98	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-12 15:51:17 Business U.S. Securities and Exchange Commission Securities Exchange Act Financial system Self-regulatory organization Mary Schapiro Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
99	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 21, 2009 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Chang Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-23 10:13:10 Financial Industry Regulatory Authority Business Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Selling away Mary Schapiro United States securities law Financial regulation Financial system
100	[START PAGE NUMBERING FOR THIS DOCUMENT CONSECUTIVELY FOLLOWING THE LAST PAGE NUMBER OF THE 19B-4 INFORMATION DOCUMENT] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-29 12:30:03 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Broker-dealer Selling away Mary Schapiro United States securities law Financial economics Financial system