Search for: "MARY SCHAPIRO"
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30 Dec 2011, 7:27 am
Editor’s Note: Mary Schapiro is Chairman of the U.S. [read post]
29 Dec 2011, 10:46 am
The proposal was included in a letter sent to Senator Jack Reed by SEC Chairman Mary Schapiro last month. [read post]
29 Dec 2011, 10:27 am
Chairman Mary Schapiro stated that she "remain[ed] committed to finding a way to make it easier for shareholders to nominate candidates to corporate boards," but also noted that "I want to be sure that we carefully consider and learn from the Court's objections as we determine the best path forward. [read post]
22 Dec 2011, 9:29 am
Not according to SEC Chairman Mary Schapiro. [read post]
22 Dec 2011, 7:00 am
According to Securities and Exchange Commission (SEC) Chairman Mary Schapiro, the SEC’s new whistleblower program is already providing “significant benefits” one year after the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
19 Dec 2011, 6:33 pm
SEC Chairman Mary Schapiro criticized a Congressional effort to make changes to the recently-effective SEC whistleblower program in a letter to Congressman Barney Frank (D-MA). [read post]
19 Dec 2011, 2:56 pm
The SEC is considering providing guidance on how the federal securities laws should regulate the activities of proxy advisory firms as a result of comments received on a Concept Release on the US proxy system, said SEC Chair Mary Schapiro. [read post]
19 Dec 2011, 7:13 am
SEC Chair Discusses the Coming Beneficial Ownership Rules Overhaul In this speech last week, SEC Chair Mary Schapiro gave us a few broad parameters of what the agency's overhaul of the beneficial ownership reporting rules might look like (the speech also addresses proxy plumbing, proxy access, say-on-pay, etc.). [read post]
19 Dec 2011, 3:23 am
SEC Chair Discusses the Coming Beneficial Ownership Rules Overhaul In this speech last week, SEC Chair Mary Schapiro gave us a few broad parameters of what the agency's overhaul of the beneficial ownership reporting rules might look like (the speech also addresses proxy plumbing, proxy access, say-on-pay, etc.). [read post]
16 Dec 2011, 7:54 am
In earlier testimony before the Senate Banking Committee, SEC Chair Mary Schapiro noted that the Dodd-Frank Reserve Fund would allow the SEC to respond to unexpected market events, invest in multi-year IT projects, and manage authorized programs during continuing resolutions. [read post]
15 Dec 2011, 7:40 am
In one such instance discussed here, in what appears to be a direct response to Judge Rakoff's ruling in Citigroup, SEC Chairman Mary Schapiro requested a series of statutory changes which would allow the Commission to impose stricter financial penalties for certain securities law violations, as well as greater penalties for recidivists in a letter dated November 28, 2011 to Senators Jack Reed and Larry Crapo. [read post]
15 Dec 2011, 7:09 am
The legislation also rescinds $25 million from the new Dodd-Frank mandated reserve fund, which Committee Chair Hal Rogers called a slush fund for the SEC for programs that Congress has not approved.In testimony earlier this year before the Senate Banking Committee, SEC Chair Mary Schapiro noted that the Dodd-Frank reserve fund would allow the SEC to respond to unexpected market events, invest in multi-year IT projects, and manage authorized programs during continuing resolutions. [read post]
14 Dec 2011, 9:07 am
The meeting included Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); Jonathan Faull, Director General for Internal Market and Services at the European Commission; Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; Teo Swee Lian, Deputy Managing Director (Financial Supervision) of the Monetary Authority of Singapore; Mary Condon, Vice-Chair of… [read post]
8 Dec 2011, 11:18 am
In a letter to SEC Chair Mary Schapiro and the heads of the CFTC and federal banking agencies, House Financial Services Committee Chair Spencer Bachus (R-ALA) requested that the comment period for the proposed regulations implementing the Dodd-Frank Volcker Rule be extended for at least 30 days to accommodate a committee hearing set for January 18, 2012. [read post]
6 Dec 2011, 4:20 pm
SEC Chair Mary Schapiro testified that the SEC was tasked with writing a large number of new rules and conducting over twenty studies and reports. [read post]
6 Dec 2011, 3:11 pm
Schapiro, before the United States Senate Committee on Banking, Housing, and Urban Affairs (December 6, 2011) [read post]
6 Dec 2011, 12:12 pm
In a letter to SEC Chair Mary Schapiro and federal banking regulators, securities and banking trade associations requested that the agencies extend the deadline for comments on their proposed regulations under the Volcker Rule. [read post]
5 Dec 2011, 1:05 pm
Mary L. [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]
2 Dec 2011, 4:33 am
Three interesting pieces of Senate testimony yesterday: - Enforcement Director Rob Khuzami on applying insider trading laws to Congress - Corp Fin Director Meredith Cross/Deputy Lona Nallengara on spurring job growth through capital formation - Chair Mary Schapiro on implementing Dodd-Frank - before the Agriculture Committee of all things... [read post]
