Investor Lawyers BlogSEC主席玛丽·沙皮罗（Mary Schapiro）在代理商的2011年执法记录中站立
遭到批评，即许多安全和交流委员会在2011财年的执法行动实际上是跟进的行政程序，而不是新行动，而不是新行动，主席玛丽·沙皮罗（Mary Schapiro）支持该机构的记录。她还指出，在某些情况下，后续行动是执行联邦证券法的关键。bob200体育Schapiro向房屋拨款小组发表了陈述。
根据最近的媒体调查结果，超过30％的美国证券交易委员会（SEC）2011年735次执法行动（该机构在前一年从未提出过这件事）。Schapiro, who was testifying in front of the House Appropriations Financial Services Subcommittee on the White House’s proposed $1.566 billion FY2013 budget for the SEC, noted that some of the enforcement actions were the most complex to ever occur and included those involving municipal securities market-related bid rigging, misleading sales practices related to structured products, Foreign Corrupt Practices Act-related violations, and insider trading. She also pointed to the number of senior level people that have been the target of many of last year’s SEC enforcements.
Schapiro said that even as the SEC has already proposed or adopted regulations for over three-fourths of the duties it was tasked with under the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, the most challenging ones, including proposals to enhance disclosures for companies that use conflict minerals or pay governments for access to natural gas, minerals, and oil, are still on the horizon. So is the SEC’s joint proposal with banking regulators on the Volcker rule, which exempts insurance firms from proprietary trading restrictions while preventing financial institutions and affiliated insurers from being able to invest in private equity and hedge funds. She said stated the SEC is “rethinking” how it deals with its Volcker rulemaking.