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Mary Schapiro
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#	Item
31	Microsoft Word - Comment Letter - IM[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-08-01 09:17:16 Mary Schapiro Registered representative U.S. Securities and Exchange Commission Financial regulation Economy of the United States Government United States securities law Financial Industry Regulatory Authority Elisse B. Walter
32	compliance services News WELCOME Welcome to this installment of the Compliance Services News, our effort to bring industry-relevant issues to the forefront and to highlight SEC rules, regulations and Add to Reading List Source URL: www.merrillcorp.com Language: English - Date: 2014-11-28 13:22:43 Law United States corporate law Auditing Corporate governance Generally Accepted Accounting Principles XBRL U.S. Securities and Exchange Commission Sarbanes–Oxley Act Mary Schapiro Business Finance United States securities law
33	Securities Industry Association February 6, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-04-08 15:06:18 Auditing Financial regulation Financial economics Regulatory compliance Securities Exchange Act United States Securities and Exchange Commission Audit committee Mary Schapiro U.S. Securities and Exchange Commission United States securities law Corporate governance Business
34	Comment Letter on File No. SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-01-16 16:00:18 Economy of the United States Stock market 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Financial Industry Regulatory Authority Security Mary Schapiro U.S. Securities and Exchange Commission United States securities law Investment Financial economics
35	Bond Market Association on SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-07 13:26:26 Year of birth missing Financial system Self-regulatory organizations Financial Industry Regulatory Authority Trade Reporting And Compliance Engine Security U.S. Securities and Exchange Commission Douglas Shulman Mary Schapiro United States securities law Finance Financial economics
36	www.financialservices.org VIA ELECTRONIC MAIL March 5, 2007 Nancy M. Morris Secretary Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-03-06 15:21:58 Business Finance Registered Investment Advisor Financial Industry Regulatory Authority Annuity Registered representative Financial adviser Securities Exchange Act Mary Schapiro United States securities law Financial economics Investment
37	August 24, 2004 Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-08-25 14:40:33 Auditing Finance Regulatory compliance Financial regulation Securities Exchange Act United States Securities and Exchange Commission Chief compliance officer U.S. Securities and Exchange Commission Mary Schapiro United States securities law Corporate governance Business
38	Teachers Workshop Program Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2010-07-19 17:29:21 Financial regulation Financial Industry Regulatory Authority Government Economy of the United States Commodity Futures Trading Commission Mary Schapiro NYSE Euronext Self-regulatory organizations Elisse B. Walter U.S. Securities and Exchange Commission
39	compliance services NEWS WELCOME Welcome to the latest edition of the Compliance Services News, our continuing commitment to bringing industry-relevant issues to the forefront and highlighting Add to Reading List Source URL: www.merrillcorp.com Language: English - Date: 2014-12-03 01:08:18 Stock market United States Securities and Exchange Commission Securities SEC filings Form 13F U.S. Securities and Exchange Commission Mary Schapiro Regulation Fair Disclosure XBRL Business Finance Financial economics
40	compliance services NEWS WELCOME Welcome to this installment of the Compliance Services News, continuing our commitment of bringing industry-relevant issues to the forefront Add to Reading List Source URL: www.merrillcorp.com Language: English - Date: 2014-12-03 01:06:33 Exchange-traded fund U.S. Securities and Exchange Commission Mutual fund Hedge fund Closed-end fund Dodd–Frank Wall Street Reform and Consumer Protection Act Mary Schapiro Investment Company Act Financial adviser Financial economics Investment Finance