A Trading Desk’s View of Market QualityThoughts from a Former Regulator
A Trading Desk’s View of Market Quality: Thoughts from a Former Regulator
Unger, Laura
2005-01-01 00:00:00
CHAPTER 7: THOUGHTS FROM A FORMER REGULATOR Laura Unger Independent Director and Consultant ROBERT SCHWARTZ: Laura Unger was a keynote speaker at our conference three years ago, and it is a pleasure to have her back. When Laura was here on the last occasion as a Commissioner of the SEC, she made an extremely thought-provoking speech. That speech is now presented as a chapter in the book on the conference, which we published. Welcome back, Laura. This time it will be a little different. You will not have to start with a disclaimer. LAURA UNGER: Actually, I heard somebody else give the disclaimer for me, so I suppose that I should not worry about it. I was here three conferences ago, and left feeling that people didn’t like the SEC. I see that things really haven’t changed much (laughter). I know I have three strikes against me. I am a former regulator, I am the last person speaking, and I am the only thing that separates you from your cocktail hour. Bob thought it would be interesting – for all of you – if I look back and talk about what it was like at the SEC, and discuss
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A Trading Desk’s View of Market QualityThoughts from a Former Regulator
CHAPTER 7: THOUGHTS FROM A FORMER REGULATOR Laura Unger Independent Director and Consultant ROBERT SCHWARTZ: Laura Unger was a keynote speaker at our conference three years ago, and it is a pleasure to have her back. When Laura was here on the last occasion as a Commissioner of the SEC, she made an extremely thought-provoking speech. That speech is now presented as a chapter in the book on the conference, which we published. Welcome back, Laura. This time it will be a little different. You will not have to start with a disclaimer. LAURA UNGER: Actually, I heard somebody else give the disclaimer for me, so I suppose that I should not worry about it. I was here three conferences ago, and left feeling that people didn’t like the SEC. I see that things really haven’t changed much (laughter). I know I have three strikes against me. I am a former regulator, I am the last person speaking, and I am the only thing that separates you from your cocktail hour. Bob thought it would be interesting – for all of you – if I look back and talk about what it was like at the SEC, and discuss
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