SEC Eyes Regulatory Road Show
- SEC Confirms Three New Commissioners. Ackerman, Andrew // Bond Buyer;6/30/2008, Vol. 364 Issue 32909, p4
The article reports on the confirmation of the U.S. Senate of the three nominees for the Securities and Exchange Commission. The three new commissioners are Elisse Walter, the senior executive vice president of the regulatory arm of the Financial Industry Regulatory Authority, Atlanta corporate...
- SEC Rounds Out Top Echelon. Mehta, Nina // Traders Magazine;Aug2008, Vol. 21 Issue 285, p24
The article announces the appointment of Troy Paredes, Elisse Walter, and Luis Aguilar as commissioners for the U.S. Securities and Exchange Commission (SEC).
- Democrats Make Recommendations for Open SEC Positions. Ackerman, Andrew // Bond Buyer;11/15/2007, Vol. 362 Issue 32755, p35
The article announces several nominees for the membership of U.S. Securities and Exchange Commission in 2007 which includes Elisse B. Walter, senior executive vice president of the regulatory arm of Financial Industry Regulatory Agency and Luis A. Aguilar, a corporate and business lawyer at...
- Senate Weighs SEC Nominees: 2 Dems, 1 Rep. Morgan, John // Money Management Executive;6/2/2008, Vol. 16 Issue 22, p4
The article announces the nomination of Luis Aguilar, Elisse Walter and Troy Paredes to the U.S. Securities and Exchange Commission.
- Underwriter Duties Detailed. Hemmerdinger, Jonathan // Bond Buyer;5/8/2012, Vol. 380 Issue 33710, p1
The article reports that the U.S. Securities and Exchange Commission (SEC) members voted for the approval of the interpretive guidance on underwriters fair dealing obligations to state and local issuers on May 4, 2012. It says that the approved interpretive guidance from the Municipal Securities...
- Cox Disclosure Initiative: Window Dressing? Barlas, Stephen // Strategic Finance;Aug2008, Vol. 90 Issue 2, p22
The article focuses on U.S. Securities & Exchange Commission (SEC) in light of the scheduled departure of SEC Chairman Chris Cox. The SEC has three new commissioners--Luis Aguilar, Elisse Walter, and Tony Paredes--who were confirmed by the U.S. Senate. The "21st Century Disclosure Initiative,"...
- Bush to Nominate Aguilar, Walter to Securities and Exchange Commission. Hume, Lynne // Bond Buyer;4/1/2008, Vol. 364 Issue 32847, p6
The article reports on the nomination of Attorney Luis A. Aguilar and securities regulator Elisse B. Walter by U.S. President George W. Bush. The president intends to appoint Aguilar and Walter as commissioners of the Securities and Exchange Commission. The two would have to be confirmed by the...
- Walter: Keep On Pushing. GLAZIER, KYLE // Bond Buyer;8/6/2013, Vol. 385 Issue 33957, p1
The article announces that Elisse Walter, chairman of the U.S. Securities and Exchange Commission (SEC), will leave the SEC after serving the board for five years.
- SEC's Aguilar Calls for More Regulatory Enforcement. Bikard, Arielle // Compliance Week;May2011, Vol. 8 Issue 88, p13
The article mentions the effort of Luis Aguilar, one of five commissioners of the U.S. Securities and Exchange Commission (SEC), to call for regulators to unite for more regulatory enforcement.