Search for: "MARY SCHAPIRO"
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19 Jun 2012, 2:00 am
In the last three months, Chairman Mary L. [read post]
18 Jun 2012, 10:33 am
SEC Chairman Mary Schapiro told the committee members that "you have made a commitment to ensuring that the voice of the investor remains front and center at the SEC," while Commissioner Luis Aguilar, an ardent backer of the Committee, told members that their "work will be vital to the SEC and the American public," asking them to focus on the needs of individual investors while noting that "only 15% of Americans trust the stock market. [read post]
12 Jun 2012, 7:28 am
Representative Schakowsky’s letter to SEC Chair Mary L. [read post]
12 Jun 2012, 6:04 am
In a letter to SEC Chair Mary Schapiro, the Senator said that he is troubled by news reports showing that between the time of the May 7 announcement and a Vertex correction of May 29th, five Vertex executives and two directors old off millions of dollars of Vertex shares. [read post]
11 Jun 2012, 2:52 pm
SEC Chair Mary Schapiro had presaged the issuance of the policy statement in recent testimony before the Senate Banking Committee. [read post]
11 Jun 2012, 11:55 am
What follows is a tick-tock description of that day, culminating in SEC Chairman Mary's Schapiro's call to Greifeld to ask for explanations on the offering. [read post]
7 Jun 2012, 3:21 pm
The SEC Aberrational Performance Inquiry initiative to combat hedge fund fraud is working well, said Chairman Mary Schapiro at a recent SEC Historical Society event. [read post]
5 Jun 2012, 10:08 pm
SEC Chairman Mary Schapiro has said that the initiatives are the result of a lot of work done to come up with a sophisticated, effective, and doable way to take care of markets in the wake of too much volatility. [read post]
3 Jun 2012, 12:15 pm
The changes lower the percentage-decline threshold for triggering a market-wide trading halt and shorten the amount of time that trading is halted.The initiatives are the product of a significant effort to devise a sophisticated, yet workable and effective way to protect markets from excessive volatility, said SEC Chair Mary Schapiro. [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]
31 May 2012, 11:46 am
The two regulators have partially attributed this to the Dodd-Frank Wall Street Reform and Consumer Protection Act, which doesn’t authorize self-funding despite the fact that SEC Chairman Mary Schapiro, past SEC chairmen, certain senators, and securities lawyers had pressed for it. [read post]
30 May 2012, 8:55 pm
When I met in 2011 with SEC Chairman Mary Schapiro and the other SEC Commissioners with other whistleblower advocates to discuss the proposed SEC Whistleblower rules, it was apparent--and shocking--that this false argument was being considered seriously. [read post]
26 May 2012, 12:06 am
Below is an article that I wrote for Business Law Today, a publication for the American Bar Association’s Business Law Section. [read post]
26 May 2012, 12:06 am
Below is an article that I wrote for Business Law Today, a publication for the American Bar Association’s Business Law Section. [read post]
23 May 2012, 2:05 pm
Chairman Mary Schapiro directed that the various tip lines be consolidated into a single database. [read post]
23 May 2012, 6:09 am
The two regulators, Mary Schapiro and Robert Gensler, both believe that if Dodd-Frank reforms had been enacted at the time of their passing, the loss at JPMorgan either wouldn’t have happened or would have been much more controlled. [read post]
22 May 2012, 6:42 pm
Read the Letter by Merkley and Levin Volcker Rule Resource Center, SIFMA More Blog Posts: JPMorgan Chase Had No Treasurer When Chief Investment Office Made Trades Resulting In More than $2B Loss, Reports WSJ, Institutional Investor Securities Blog, May 19, 2012 JPMorgan Chase Shareholders File Securities Lawsuits Over $2B Trading Loss, Institutional Investor Securities Blog, May 17, 2012 SEC Chairman Mary Schapiro Stands By Agency’s 2011 Enforcement… [read post]
22 May 2012, 12:19 pm
SEC Chair Mary Schapiro said that the JP Morgan trading in question took place in a London-based bank and not in the broker-dealer supervised by the SEC. [read post]
22 May 2012, 11:03 am
JPMorgan is “a real life, real world example of what can happen,” said SEC Chairman Mary Schapiro. [read post]
22 May 2012, 7:06 am
Securities and Exchange Commission Chair Mary SchapiroOn May 21, 2012... [read post]
