Search for: "MARY SCHAPIRO"
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22 Jun 2009, 2:32 pm
Following the Obama Administration's proposals last week to bring tighter regulation to financial markets, SEC Chairwoman Mary Schapiro testified before a Senate Banking subcommittee today that it would be relatively simple to change the law to allow for the regulation of over-the-counter (OTC) derivatives and emphasized that this step is needed to help the SEC ensure the proper regulation of securities markets. [read post]
28 Apr 2009, 3:51 am
Schapiro U.S. [read post]
25 Apr 2012, 1:17 pm
SEC rulemaking teams have been working on the proposed regulations to implement the Jumpstart Our Business Startups Act (JOBS Act), enacted on April 5, 2012, which makes significant changes to the federal securities laws, SEC Chair Mary Schapiro told the House Financial Services Committee. [read post]
4 Feb 2011, 5:38 pm
The continuing resolution that has essentially frozen the SEC budget at 2010 levels has impacted the Commission’s core mission, said Chairman Mary Schapiro, separate and apart from the Dodd-Frank duties to regulate derivatives, hedge fund advisers and credit rating agencies. [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]
9 Feb 2010, 2:25 pm
At a closed-door meeting scheduled for February 10, the Financial Industry Regulatory Authority board of governors will preside over a closed-door meeting to assess allegations made by Amerivet Securities Inc. that certain FINRA executives, including chief executive Mary Schapiro, received excessive pay. [read post]
27 Jan 2010, 10:34 am
SEC Chairman Mary Schapiro wanted to make it clear that the SEC was not adding any new legal requirements, nor adding to the debate about climate change or global warming: the Commission is not making any kind of statement regarding the facts as they relate to the topic of “climate change” or “global warming. [read post]
17 Jun 2011, 10:22 am
In response to congressional concerns that the unilateral imposition of the Dodd-Frank Volcker provisions may create a competitive disadvantage for US markets, SEC Chair Mary Schapiro assured the House Financial Services Committee that the SEC would seek extensive comment on the issues of global competitiveness to the extent the Commission can address them in any proposed regulations implementing the Volcker Rule. [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]
26 Apr 2012, 3:51 pm
In testimony to lawmakers this week, SEC Chairman Mary Schapiro said her agency has no immediate plans to revive a controversial proxy access rule that was struck down by a federal court last July. [read post]
3 Jul 2011, 6:56 am
Late last month SEC Chairman Mary Schapiro announced at a Wall Street Journal forum that the Commission is looking at a variety of options to deal with concerns about reverse mergers. [read post]
2 Dec 2011, 10:32 am
Chairs Mary Schapiro and Gary Gensler were closely questioned by committee Chair Debbie Stabenow (D-MI) and ranking member Pat Roberts (R-KS) about the agencies’ oversight of the failed firm.MF Global traded both securities and commodities derivatives, although the securities side was small, consisting of only about 400 accounts. [read post]
23 Aug 2012, 11:51 am
The SEC, through its Chairwoman Mary L. [read post]
17 Aug 2011, 3:07 pm
In a letter to SEC Chair Mary Schapiro, Senator Charles Grassley (R-Iowa) asked the Commission to respond to allegations that case-related document destruction might have compromised enforcement in cases involving suspicious activity at major banks and hedge funds. [read post]
27 Aug 2012, 7:12 am
Patrick McHenry's August 16 letter to SEC Chair Mary Schapiro about the delay in getting a rule implemented to lift the general solicitation ban for offerings under Rule 506 of Reg D. [read post]
16 Feb 2011, 5:26 pm
In a bi-partisan letter to SEC Chair Mary Schapiro and CFTC Chair Gary Gensler, key Senators said that it is critical that the commercial end user exemption provided both in Sections 723 and 763 of Dodd-Frank be implemented consistently with Congressional intent, which is that margin requirements should not be applied to the end users of OTC derivatives. [read post]
10 Jul 2012, 4:29 am
As mentioned below, House Oversight Committee Chair Darrell Issa sent a letter recently to SEC Chairman Mary Schapiro requesting information about IPOs. [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]
21 Oct 2009, 9:01 am
Earlier this month, SEC Chairman Mary Schapiro said the Commission will postpone finalizing a proxy access rule that would allow investors to propose director candidates on the company proxy statement. [read post]
30 Mar 2011, 3:52 pm
In a letter to SEC Chair Mary Schapiro, House Oversight Committee Chair Darrell Issa asked that the Commission consider whether its current regulations and actions contribute to the decline of capital formation. [read post]
