Search for: "MARY SCHAPIRO"
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15 May 2009, 5:00 am
According to the press release and the speech by Mary Schapiro here is a summary of the proposed rules: All registered investment advisers with custody of client assets will undergo an annual "surprise exam" by an independent public accountant to verify those assets exist. [read post]
22 Dec 2011, 7:00 am
According to Securities and Exchange Commission (SEC) Chairman Mary Schapiro, the SEC’s new whistleblower program is already providing “significant benefits” one year after the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
18 Dec 2008, 12:19 am
Reports are floating around that the new chair of the SEC will be Mary Schapiro, a former chair of the CFTC and a former acting chair of the SEC. [read post]
1 Apr 2009, 7:27 am
Singer comments on the qualifications of Mary Schapiro as she serves as chairman of the Securities and Exchange Commission. [read post]
7 Sep 2011, 2:41 pm
Chairman Mary L. [read post]
1 Apr 2010, 6:26 am
We can’t speak for anyone else, but we’ll admit that we were caught off guard by the regulations that SEC Chairman Mary Schapiro unveiled at a press conference earlier today. [read post]
15 Jul 2009, 7:45 am
Chairman Schapiro Photo Courtesy of www.sec.gov Chairman Mary Schapiro of the Securities and Exchange Commission (SEC) testified before the House Committee on Financial Services' Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises yesterday respecting the SEC's "role in helping to address the financial crisis" as well as the actions being taken "to improve investor… [read post]
28 Apr 2009, 8:35 am
Securities & Exchange Commission (SEC) chairwoman Mary Schapiro speaking at the Society of American Business Writers and Editors’ conference on Monday announced that the SEC will ask Congress for “whistleblower authority” similar to that used by the IRS in investigating tax fraud. [read post]
25 Mar 2009, 9:29 am
Mary Schapiro announced yesterday that she has named Didem A. [read post]
11 Apr 2011, 6:00 am
A couple pieces in the WSJ and VentureBeat over the weekend overstate the significance of references to crowdfunding in SEC Chairman Mary Schapiro's April 6 letter to Representative Darrell Issa. [read post]
7 Jul 2011, 11:36 am
In any event, US participation in the process is essential to making sure investor focus remains at the centerSEC Chair Mary Schapiro asked about the danger in the expansion of differences in IFRS interpretations country-by-country as we go through time. [read post]
11 Feb 2008, 1:37 am
SEC Chairman Christopher Cox, FINRA Chief Executive Officer Mary Schapiro and NASAA Present Karen Tyler signed onto an initiative to protect senior investors from fraud. [read post]
24 Aug 2011, 8:00 am
The Council for Institutional Investors sent a letter to Mary Schapiro indicating that the Commission ought to seek en banc review of the panel's decision in Business Roundtable. [read post]
21 May 2010, 6:15 am
Examining the Causes and Lessons of the May 6th Market Plunge, Testimony of Chairman Mary L. [read post]
18 Dec 2010, 1:11 pm
From “Opening Statement at the SEC Open Meeting — Consolidated Audit Trail,” by Chair Mary Schapiro: The technology for collecting data and surveilling our markets is often as much as two decades behind the technology currently used by those we regulate. [read post]
20 Jul 2010, 8:07 am
Mary Schapiro says the SEC will need to add 800 people to implement financial reform, which she says promises to be “logistically challenging and extremely labor intensive. [read post]
31 May 2012, 9:13 pm
According to Commodity Futures Trading Commission Chairman Gary Gensler and Securities and Exchange Commission Chairman Mary Schapiro, the two federal agencies didn’t know that JPMorgan & Chase (JPM) had sustained $2 billion in trading losses until they heard about it through the press in April. [read post]
6 Jul 2012, 1:46 pm
According to Securities and Exchange Commission Division of Investment Management deputy director Robert Plaze, the division is ready to recommend new reforms for mutual market funds as soon as Chairman Mary Schapiro gives the go ahead. [read post]
9 Apr 2013, 4:18 am
When Mary Schapiro announced she was stepping down, I ran a blog poll asking you to guess the next SEC Chair. [read post]
12 Jul 2010, 8:39 pm
Goldfarb, Wash Post, SEC Chairman Mary Schapiro considers overhauling rules to help investors Nate... [read post]
