Search for: "MARY SCHAPIRO"
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20 Aug 2012, 7:35 am
"On Friday, however, the S.E.C. chairwoman, Mary Schapiro, confirmed that the agency would not ram new rules through without public comment. . . . [read post]
16 Aug 2012, 3:56 pm
In a letter to SEC Chair Mary Schapiro, also signed by former Acting SEC Chief Accountant Jane Adams and a number of consumer groups, they urged the SEC to abandon this rushed approach which, in their view puts vulnerable investors at risk. [read post]
15 Aug 2012, 3:30 pm
In a letter to SEC Chair Mary Schapiro, the Congressional Steel Caucus urged the SEC to recognize the inherent impossibility of tracking and tracing the conflict minerals in scrap steel and to incorporate in the regulations implementing the conflict minerals disclosure provisions of the Dodd-Frank Act the classification of product produced from scrap as a conflict-free mineral. [read post]
13 Aug 2012, 3:23 pm
In a letter to SEC Chair Mary Schapiro, Arlene McCarthy, a Member of the European Parliament, urged the Commission to adopt strong reporting rules for the resource extraction industries at the scheduled August 22 open meeting. [read post]
12 Aug 2012, 7:55 pm
Thus, the SEC, which openly expressed its opposition to crowdfunding prior to the passage of the JOBS Act (including criticism by SEC Chairwoman Mary Schapiro that crowdfunding regulation would be akin to "walking backwards"), will most likely implement burdensome compliance and disclosure requirements.3 Why is this good news for franchises? [read post]
6 Aug 2012, 10:32 am
He has also authored numerous whistleblower protection statutes, including the 1986 and 2009 amendments to the False Claims Act, the 2006 amendments to the Internal Revenue Service whistleblower program, and the Sarbanes-Oxley Act whistleblower protections.In a May 10, 2011 letter to SEC Chair Mary Schapiro, Senator Grassley noted that the SEC Dodd-Frank mandated whistleblower program is modeled after the IRS whistleblower program enacted into law in 2006. [read post]
3 Aug 2012, 10:11 pm
In a statement, the chairwoman of the Securities and Exchange Commission, Mary L. [read post]
3 Aug 2012, 2:08 pm
SEC Chairman Mary Schapiro today made the following statement: The apparent trading error by Knight Capital Group on Wednesday reflects the type of event that can raise concerns for investors about our nation’s equity markets — markets that I believe... [read post]
1 Aug 2012, 8:52 am
Schapiro in mid-2010 and led by SEC Commissioner Elisse B. [read post]
29 Jul 2012, 9:20 pm
” Stronger Enforcement of Civil Penalties Act Reed, Grassley Seek Tougher Penalties for Wall Street Fraud, Senator Jack Reed, July 23, 2012 More Blog Posts: Trading in Securities of 379 Microcap Companies Suspended in SEC’s Fraud Crackdown, Stockbroker Fraud Blog, May 14, 2012 SEC Chairman Mary Schapiro Stands By Agency’s 2011 Enforcement Record, Stockbroker Fraud Blog, March 15, 2012 Several Claims in Securities Fraud Lawsuit Against Ex-IndyMac Bancorp… [read post]
27 Jul 2012, 9:05 am
The agency has recommended that SEC Chairman Mary Schapiro identify what steps need to be completed (and when) so that the Commission can finally put out a final rule. [read post]
25 Jul 2012, 10:00 am
In recent weeks, the SEC has given notice of matters that SEC Commissioners will consider at an open meeting on August 22, 2012, including: general solicitation rulemaking required by Title II of the JOBS Act disclosure and reporting rules for conflict minerals and resource extraction issuers that are required under the Dodd-Frank Wall Street Reform and Consumer Protection Act SEC Chairman Mary Schapiro also recently testified before a House Oversight and Government… [read post]
24 Jul 2012, 8:33 am
The legislation responds, in part, to an earlier letter sent to Senator Reed, and Securities Subcommittee Ranking Member Larry Crapo (R-ID), by SEC Chair Mary Schapiro requesting statutory changes substantially enhancing the effectiveness of the SEC’s enforcement program by addressing existing limitations. [read post]
19 Jul 2012, 4:49 pm
Furthermore, by discouraging investors from redeeming shares in a troubled fund, the minimum balance at risk would help the fund avoid the need for fire sales of assets to raise cash, thereby reducing contagion risk throughout the system.Noting that SEC Chair Mary Schapiro has suggested money market fund reforms requiring either a floating NAV or a capital buffer, the NY Fed staff said that capital buffers have drawbacks. [read post]
19 Jul 2012, 10:09 am
With the full backing of the Financial Stability Oversight Council, SEC Chair Mary Schapiro reaffirmed at the FSOC open meeting the need for additional reform of money market fund regulation. [read post]
17 Jul 2012, 6:00 am
SEC Chairman Mary Schapiro applauded the passing of the Rule, stating, “Today’s rule ultimately will lead to better protections for investors, and fairer, more orderly, and more efficient markets. [read post]
15 Jul 2012, 9:16 am
SEC Chairman Mary Schapiro gave testimony before a House committee recently to provide updates on the implementation of the JOBS Act and the status of rulemaking that is required under the JOBS Act. [read post]
15 Jul 2012, 9:16 am
SEC Chairman Mary Schapiro gave testimony before a House committee recently to provide updates on the implementation of the JOBS Act and the status of rulemaking that is required under the JOBS Act. [read post]
12 Jul 2012, 8:03 am
WASHINGTON, DC - SEPTEMBER 19: SEC Chairman Mary Schapiro... [read post]
11 Jul 2012, 3:16 pm
In a letter to Labor Secretary Hilda Solis, copied to SEC Chairman Mary Schapiro, 33 leading House Democrats urged the DOL to work closely with the SEC in defining the term fiduciary in the context of providing investment advice under ERISA. [read post]
