Search for: "MARY SCHAPIRO"
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5 Mar 2012, 3:02 pm
The group wrote a letter to SEC Chairman Mary Schapiro contending that forcing the nonprofit to pay back Stanford’s victims is not only a “misfit solution,” but also, it will establish an “unsustainable precedent. [read post]
28 Feb 2012, 2:00 am
“I don’t feel any pressure at all to go along with anybody,” said Mary Schapiro, the chairman of the U.S. [read post]
27 Feb 2012, 11:53 am
Securities and Exchange Commission Chairwoman Mary L. [read post]
25 Feb 2012, 7:20 am
In the near term, said SEC Chair Mary Schapiro at the PLI SEC Speaks seminar, the Commission will address the most salient international issues of Dodd-Frank OTC derivatives regulation in a single proposal. [read post]
24 Feb 2012, 1:31 pm
One of Chairman Mary Schapiro's goals is to address the core structural weaknesses of the market. [read post]
24 Feb 2012, 6:35 am
Mary L. [read post]
22 Feb 2012, 2:17 pm
Mary L. [read post]
17 Feb 2012, 9:05 am
While Chairman Mary Schapiro has indicated that she intends for the SEC to abide by the order, the legislation is designed to codify that executive order and require her and future SEC Chairmen to abide by it.Specifically, the SEC Regulatory Accountability Act requires the SEC to clearly identify the nature of the problem that a proposed regulation is designed to address, as well as assess the significance of that problem, before issuing a new rule. [read post]
15 Feb 2012, 6:06 am
In a Feb. 13 letter to SEC Chairman Mary Schapiro, the 14 pension funds and plan sponsors, which represent $1.6 trillion in assets, urged the agency to complete what they called “unfinished business” in the wake of the financial crisis. [read post]
14 Feb 2012, 7:30 am
I believe this is also true of SEC Chairman Mary Schapiro. [read post]
9 Feb 2012, 3:34 pm
.), and Richard Blumenthal (D-Conn.) had even recently written to SEC chairwoman Mary L. [read post]
9 Feb 2012, 8:27 am
In a Jan. 19 letter to SEC Chairman Mary Schapiro, the groups state: "while compliance with the pay ratio provision may seem straightforward, there are significant hurdles and burdens faced by the business community in attempting to comply with it . . .There is a widespread misperception that this information is readily available at the touch of a button. [read post]
1 Feb 2012, 8:38 am
In January, SEC Chairman Mary Schapiro sent a letter to Congressman Scott Garrett, Chairman of the House Capital Markets Subcommittee, stating that it needs to gather additional information for an economic analysis of the impact of a standard of care regulation. [read post]
22 Jan 2012, 12:40 pm
There are currently three economists working within the Division of Risk, Strategy and Financial Innovation on the topic of retail financial advice and the differences between the broker and investment adviser regulatory regimes, said SEC Chair Mary Schapiro in a Jan. 10, 2012 letter to Rep. [read post]
17 Jan 2012, 2:35 pm
” SEC Chairman Mary Schapiro described Kotz as a “committed public servant who has served the agency with great distinction for the past four years. [read post]
13 Jan 2012, 8:42 am
Heading into 2012, regulators will have some catching up to do, though many regulators, namely Securities and Exchange Commission (SEC) Chair Mary Schapiro and Commodity Futures Trading Commission Chair Gary Gensler, have repeatedly emphasized that they are more focused on “getting the rules right” than they are on meeting deadlines. [read post]
12 Jan 2012, 1:07 pm
The Board will increase staff to perform inspections of the audits of SEC-registered broker-dealers and to increase the number of international inspections in 2012.In opening remarks, SEC Chair Mary Schapiro referred to the unprecedented change that was brought about by the PCAOB’s oversight of the audit profession. [read post]
4 Jan 2012, 7:43 am
In her keynote speech, SEC Chairman Mary Schapiro highlighted her agency's efforts to improve engagement between shareholders and their investee companies. [read post]
2 Jan 2012, 3:15 pm
The meeting included CFTC Chair Gary Gensler, SEC Chair Mary Schapiro, Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA), Jonathan Faull, Director General for Internal Market at the European Commission, Ashley Alder, CEO of the Hong Kong Securities and Futures Commission, Masamichi Kono, Vice-Commissioner of the Japanese Financial Services Agency, Teo Swee Lian, Deputy Managing Director of the Monetary Authority of Singapore, Mary Condon,… [read post]
30 Dec 2011, 7:27 am
Becker and SEC Chairman Mary Schapiro. [read post]
