back to Elisse Walter homepage
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CCH Wall Street C360 Main The latest changes should bring the rule close to its final form, said Elisse Walter, senior executive vice president of Regulatory Policy & Programs at the NASD. http://www1.cchwallstreet.com/ws-portal/content/c360/09-05-2.. |
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The NASD Has Clients? Number ... regulatory organization has angered executives with calls to clients who have not lodged complaints, but, if anything, use of that tactic will increase, according to Elisse Walter ... http://registeredrep.com/news/nasd-unsolicited-calls |
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White House to nominate two Democrats to SEC - Boston.com The White House said on Friday it intends to nominate two Democrats to fill empty seats at the Securities and ... Elisse Walter, former deputy director ... http://www.boston.com/news/nation/washington/articles/2008/0.. |
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TheCorporateCounsel.net Blog: President Bush: Announces Intention ... President Bush: Announces Intention to Nominate Democratic SEC Commissioners. Due to this White House press release from Friday, the status of Luis Aguilar and Elisse Walter to ... http://www.thecorporatecounsel.net/blog/archive/001757.html |
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IAWatch - Speeches - FINRA Remarks From the Mutual Funds and Investment Management Conference : 03/27/2007: Elisse Walter: Remarks From the SIFMA Compliance & Legal Division's 38th Annual Seminar : 03/26/2007: Mary L. http://www.iawatch.com/Regulatory.aspx?ArticleType=20 |
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fall2007 Coffee With The Regulators" with Elisse Walter of FINRA . 10:30 AM: Electronic Document Retention with Steven Finnern of Smarsh . 11:30 - 12:30 PM: http://naibd.com/TSfall2007.htm |
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White House to Tap Two Dems to SEC - Regulatory Issues - CFO.com Last year Senate Majority Leader Harry Reid recommended Luis Aguilar and Elisse Walter to the President to fill the empty SEC seats. http://www.cfo.com/article.cfm/10944591?f=rsspage |
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12/13/04 Elisse Barbara Walter was sworn in today as a Commissioner of the Securities and ... at the SEC as well as in her extensive experience at the CFTC and FINRA, Elisse ... http://www.thehcnews.com/breaking/_article/000001e9.htm |
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First American Stock Transfer, Inc. of Arizona On June 27, 2008 the Senate confirmed Elisse Walter, Troy Paredes, and Luis Aguilar to be SEC Commissioners. The agency has been operating with only three of five commissioners. http://www.firstamericanstock.com/ |
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Senate Approves 3 Nominees to SEC - washingtonpost.com The Senate approved Luis Aguilar, Troy Paredes and Elisse Walter to the Securities and Exchange Commission. They are pictured at a confirmation hearing. (By Joshua Roberts ... http://www.washingtonpost.com/wp-dyn/content/article/2008/06.. |
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ASECA ... ... Elisse Walter Introduction of Mary L. Schapiro ASECA Dinner February 8, 2008. I was so delighted when Mary asked me to introduce her at this event. http://aseca.timberlakepublishing.com/content.asp?pl=31&sl=5.. |
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fall2007 9:15 AM: "Coffee With The Regulators" with Elisse Walter of FINRA ... Elisse Walter and Bob Errico of FINRA will participate as NAIBD's chairman Lisa ... http://www.naibd.com/TSfall2007.htm |
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White House announces plans for SEC democrats - MarketWatch Bush plans to nominate Luis Aguilar, a partner with the law firm McKenna Long & Aldridge in Atlanta, and Elisse Walter, a senior executive vice president at the Financial Industry ... http://www.marketwatch.com/news/story/white-house-announces-.. |
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Financial Advisor Magazine ... when it comes to senior citizens. "We have had a sort of steady drumbeat of investor complaints and enforcement investigations and cases for years," said Elisse Walter, senior ... http://www.fa-mag.com/news.php?id_content=4&idNews=1174 |
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Press Release: Elisse B. Walter Sworn in as SEC Commissioner; 2008-137 ... Commissioner Walter, who was appointed by President George W. Bush on June 30, ... at the SEC as well as in her extensive experience at the CFTC and FINRA, Elisse ... http://www.sec.gov/news/press/2008/2008-137.htm |
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New-Look SEC to Address Broker Vote Controversy Uninstructed votes cast by brokers in board elections have been a growing flashpoint between directors and ... investors elisse walter luis aguilar ... http://www.directorship.com/ntk--washington |
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www.investmentadvisor.com Elisse Walter, senior VP of Regulatory Policy & Programs at FINRA, has been confirmed to be an SEC Commissioner with her term expiring June 5, 2012. http://www.investmentadvisor.com/print.php?printscreen=yes&t.. |
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ICI Participates in NASD Breakpoint Task Force, February 2003 ... Chairman, NASD, and President, Regulatory Policy and Oversight, NASD, and will include, along with Tyle, Stuart Kaswell, Vice President and General Counsel, SIA; and Elisse Walter ... http://www.ici.org/issues/fee/arc-reg/03_nasd_breakpt_task.h.. |
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ICI Welcomes New SEC Commissioner Elisse B. Walter, July 2008 Elisse B. Walter, a new commissioner of the Securities and Exchange Commission, will be an effective advocate for ... decades, Elisse Walter has ... http://www.ici.org/issues/fserv/08_news_sec_walter.html |
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Sidley Austin LLP - News & Resources - Sidley Updates - Asian Edition ... SEC Seeks Public Comment on Proposed PCAOB Amendments to Ethics ... CFTC Issues Order on TAIFEX Marketing in the US. Elisse Walter Sworn in as SEC Commissioner ... http://www.sidley.com/clientupdates/Detail.aspx?news=3655 |
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