Mary Schapiro

• Consumer Protection Act Sets New Advisor Deadline

  By Michelle A. Samaad  |  September 2, 2010

  The SEC said today it has adopted a temporary rule requiring advisors who provide advice to state and local governments to register with the agency by Oct. 1.

• Financial Reform Act Will Pump Up Investor Protections

  By Michelle A. Samaad  |  August 4, 2010

  Joe and Jane Consumer may be overwhelmed with what the recently enacted legislation aimed at overhauling financial services means in their day-to-day lives. But advocates say the changes are really in their best interest.

• SEC Seeks Comment on Financial Reform Measures

  By Michelle A. Samaad  |  July 27, 2010

  The SEC is asking for feedback on the areas of the Dodd-Frank Wall Street Reform and Consumer Protection Act that will impact investors.

• 'Fat Finger' Theories Aside, Members Are Advised to Stay on Track

  By Michelle A. Samaad  |  May 19, 2010

  Huddled in a room last week, SEC Chairman Mary Schapiro met with the leaders of the six exchanges to get to the bottom of what caused unusual trading activity and enormous stock market selloff on May 6.

• SEC Expects to Collect $1 Billion in Fees

  By Michelle A. Samaad  |  May 5, 2010

  For fiscal year 2011, the SEC said it estimates collecting $1.7 billion on transaction and registration fees but that would be offset by the $1.25 billion proposed by President Obama for the agency's operations.

• SEC Proposes More Restrictions on Broker-Dealers

  By Michelle A. Samaad  |  January 14, 2010

  Broker-dealers would be required to establish, document and maintain a system of risk management controls related to their clients' access to markets under a new SEC proposal.