Securities firms that sell variable life insurance products must ensure that they are appropriate for particular investors and that brokers do not mislead their customers about the nature of these products,
More Quotes from Mary Schapiro:
This initiative started with our disciplinary action against First Command Financial Planning. We and our partners want to make sure that that sort of thing never happens again. We believe the Military Financial Education Program will move us a long way toward that end.Mary Schapiro
Brokerage firms and their executives cannot use threats regarding research activities as a way to obtain investment banking business, ... The threat to drop research coverage if Piper were not selected as the lead underwriter for a secondary offering was totally inappropriate and undermines the integrity of the market.
Mary Schapiro
It is certainly a crime with a victim when people who have the right to expect that they are doing business with honorable and reputable people who will be duly licensed find out that they are not.
Mary Schapiro
The conduct of this analyst, as evidenced by his own e-mails, gifts to the CEO of Tyco, and favors he received from the company amounted to a betrayal of objectivity and honesty in research,
Mary Schapiro
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Based on Topics: Nature Quotes, Product QuotesExtensive traveling induces a feeling of encapsulation, and travel, so broadening at first, contracts the mind.
Paul Theroux
To many a man, and sometimes to a youth, there comes the opportunity to choose between honorable competence and tainted wealth. The young man who starts out to be poor and honorable, holds in his hand one of the strongest elements of success.
Orison Swett Marden
No thoroughly occupied man was ever yet very miserable.
Letitia Landon