Investment Banking Practices
Witnesses testified about a $1.4 billion settlement reached between the Securities and Exchange Commission and ten of the largest brokerage… read more
Witnesses testified about a $1.4 billion settlement reached between the Securities and Exchange Commission and ten of the largest brokerage firms. Among the topics they addressed were potential conflicts of interest in the regulation of the securities industry, the future role of self-regulatory organizations, methods to regain investors' trust, and implementing specific provisions of the settlement.
At the beginning of the hearing members talked about and voted on awarding the Congressional Gold Medal to British Prime Minister Tony Blair. close
*The transcript for this program was compiled from uncorrected Closed Captioning.
People in this video
- Christine Bruenn President North American Securities Administrators Assn.
- Stephen M. Cutler Director Securities and Exchange Commission->Division of Enforcement
- William H. Donaldson Chairman Securities and Exchange Commission
- Robert R. Glauber Chairman and CEO National Association of Securities Dealers
- Richard Grasso Chairman and CEO New York Stock Exchange
- Eliot Spitzer Attorney General New York (State)
- Richard C. Shelby U.S. Senator [R] Alabama
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