在夏皮罗的领导下,SEC开展了一些备受瞩目的执法行动,比如向参与内幕交易的对冲基金经理拉贾拉特南(Raj Rajaratnam)成功提起民事诉讼,同时聘用了更多精通技术的官员以应对日益复杂的市常
For all the successes, some critics see a number of failures. One of Ms. Schapiro's priorities, tightened rules for the $2.6 trillion money-market mutual-fund industry, collapsed this past summer when she failed to win over a majority of the five-member commission.
尽管取得了上述成功,一些批评者认为夏皮罗还是有一些失败之处。夏皮罗在任期间的工作重点之一是收紧对规模达2.6万亿美元的货币市场共同基金行业的监管规定。今年夏季,由于夏皮罗未能赢得SEC五位委员的多数支持,这一工作遭到失败。
The SEC has also made little progress in one of its most significant challenges: dealing with an explosion of computerized trading that has sparked a series of high-profile market breakdowns, triggering a crisis of confidence among mom-and-pop investors─the kind Ms. Schapiro pledged to protect as she took the job amid the fallout from the financial crisis.
电脑化交易数量激增引发了一系列引人注目的市场故障,导致很多家庭投资者出现信心危机。这是SEC面临的最严峻的挑战之一,但该机构在这方面却几乎没有取得进展。在金融危机的余波中走马上任之际,夏皮罗曾承诺要保护家庭投资者。
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