Elisse Walter LINKS |
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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/c360/0 9-05-2007/container. jsp?fn=c360_main |
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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-ca lls |
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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/a rticles/2008/03/28/white_house _to_nominate_two_democrats_to_ sec/ |
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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/000001 e9. 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/2 008/06/27/AR2008062703164. html |
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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=58&contentid=60 |
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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-a nnounces-plans-sec/story. aspx?guid=%7BB2BDF6B8%2D36D3 %2D4F68%2DBB30%2D3B04BC00D00A% 7D |
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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 |
Elisse Walter in the news and top stories
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Senate Confirms New SEC Commissioners Apparently the Senate confirmed the nominations of Troy Paredes, Luis Aguilar and Elisse Walter to the SEC today, since Chairman Cox referred to three new Commissioners, although it seems odd that he didn.. http://lawpro fessors. typepad. com/securitie s/2008/06/senat e-confirms. html |
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U.S. Senate confirms 3 new SEC commissioners According to Reuters, "WASHINGTON, June 27 (Reuters) - The U.S ... & Aldridge, and Elisse Walter, a senior executive with the Financial Industry Regulatory Authority, were http://twisri . blogspot. com/2008/06/u s-senate-confir ms-3-new-sec. html |
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