Search for: "MARY SCHAPIRO"
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30 Oct 2012, 6:11 am
Rosenberg (‘83), Mary Schapiro, Anne Sheehan, Larry Sonsini, Adair Turner, Elisse B. [read post]
25 Oct 2012, 9:01 pm
Indeed, Mary Schapiro expects to see a standard proposed in 2013. [read post]
17 Oct 2012, 1:56 pm
SEC chairwoman, Mary Schapiro, said, “these rules are intended to make the financial system safer, and the derivative markets fairer, more efficient, and more transparent. [read post]
16 Oct 2012, 9:30 pm
In explaining the underlying problem, SEC Chair, Mary Schapiro explained that with the “inherent speed of trading,” a single technological failure “may cascade into other venues and affect many other parties. [read post]
25 Sep 2012, 5:00 am
According to the chairman of the SEC, Mary Schapiro: The [Dodd-Frank Act] explains that the exploitation and trade of conflict minerals by armed groups is helping to finance conflict in the region and that the emergency humanitarian crisis there warrants these disclosure requirements. [read post]
13 Sep 2012, 7:07 am
Darrell Issa echoes the criticism of Chair Schapiro. [read post]
12 Sep 2012, 12:49 pm
Meanwhile, Rule 144A, which provides an exemption for resales of certain restricted securities to qualified institutional buyers, would be amended to provide that securities sold pursuant to the rule may be offered to persons other than QIBs, provided that the securities are sold only to persons that the seller and any person acting on the seller's behalf reasonably believe are QIBs.According to the SEC Chairman Mary Schapiro, the proposed rules "fulfill… [read post]
12 Sep 2012, 11:19 am
The recent SEC enforcement steps also have taken place at the corporate finance division level, but presumably with the informal approval at least of SEC Chair Mary Schapiro. [read post]
7 Sep 2012, 10:21 am
In all the excitement over the SEC release on lifting the ban on general solicitation in Rule 506 offerings, I wonder if we're overlooking a roadmap SEC Chair Mary Schapiro may have delivered at the open SEC meeting approving the proposed rules. [read post]
7 Sep 2012, 6:38 am
Here is a round up of commentary on the proposed rule: Proposed Rule Regarding General Solicitation and Advertising by Mary L. [read post]
6 Sep 2012, 8:58 am
On June 25, 2012, 33 members of Congress wrote to Secretary of Labor Hilda Solis and SEC Chair Mary Schapiro, urging the Department of Labor and the SEC to coordinate closely on their respective fiduciary rulemaking initiatives and arrive at a workable, consistent set of regulations. [read post]
6 Sep 2012, 6:07 am
Schapiro. [read post]
6 Sep 2012, 6:07 am
Schapiro. [read post]
6 Sep 2012, 5:41 am
Editor’s Note: Mary Schapiro is Chairman of the U.S. [read post]
6 Sep 2012, 5:41 am
It obtained through a FOIA request emails between Annette Nazarath, a former SEC Commissioner now at Davis Polk, and various SEC officials, including Chairman Mary Schapiro... [read post]
6 Sep 2012, 1:53 am
Every fall since I first started writing this blog, I have assembled a list of the current hot topics in the world of directors’ and officers’ liability. [read post]
1 Sep 2012, 8:25 am
Understanding the needs of investors is critical to carrying out the Commission's investor protection mission, said SEC Chairman Mary Schapiro, who added that the study provides important data and insights that will assist the Commission in its ongoing efforts to help retail investors make informed investing decisions. [read post]
30 Aug 2012, 9:30 pm
SEC Chairperson Mary Schapiro said she did not have the support of her fellow commissioners to propose new money market reform rules. [read post]
30 Aug 2012, 6:20 am
Editor’s Note: Mary Schapiro is Chairman of the U.S. [read post]
29 Aug 2012, 9:29 am
The SEC’s quiet period rules do not suffer from a constitutional defect under the US Supreme Court’s First Amendment test announced in a 2001 ruling, said SEC Chair Chair Mary Schapiro in response to a question from House Oversight Committee Chair Darrell Issa (R-CA) as part of a letter from the oversight chair containing a number of questions on the reform of the IPO regulatory regime. [read post]
