Search for: "MARY SCHAPIRO"
Results 281 - 300
of 901
Sorted by Relevance
|
Sort by Date
23 Sep 2011, 9:43 am
" Chairman Mary Schapiro (whose testimony is available here) told the Committees that there "were a number of important facts about Mr. [read post]
8 Mar 2012, 12:11 pm
On Tuesday, March 6, 2012, SEC Chairman Mary Schapiro appeared before the House Subcommittee on Financial Services and General Government to testify in support of the Administration's budget request for the SEC for the 2013 fiscal year. [read post]
20 Sep 2010, 8:04 pm
In testimony before the House Financial Services Committee, SEC Chair Mary Schapiro said that Sec. 929I enhances the SEC's ability to examine the firms it regulates by clarifying that the Commission can protect information gathered in the examination process from the regulated firms. [read post]
7 Sep 2011, 4:53 am
In an effort to ensure that the SEC carefully considers and learns from the court's objections as it determines the best path forward, SEC Chairman Mary Schapiro asked the staff to continue reviewing the decision as well as the comments the Commission previously received from interested parties. [read post]
4 May 2012, 1:58 pm
In a letter to SEC Chair Mary Schapiro, Senator Charles Grassley (R-Iowa) asked the Commission to detail its procedures regarding the protection of sensitive whistleblower information, including any written guidance given to SEC staff. [read post]
18 Aug 2011, 8:48 am
Iowa) of the Senate's Committee on the Judiciary, asked SEC Chairman Mary Schapiro whether the Commission has destroyed files relating to some of its more high-profile and controversial matters, such as its investigations of Bernie Madoff, Goldman Sachs, Bank of America, Lehman Brothers and others. [read post]
19 Apr 2012, 12:04 pm
SEC Chair Mary Schapiro told a House oversight panel of the strengthened role of economists in SEC rulemakings. [read post]
27 Mar 2009, 5:30 am
SEC Must Have Role in Systemic Risk Regulation Says SEC Chair SchapiroAs Congress considers legislation to create a systemic risk regulator with consolidated power over large financial institutions, SEC Chair Mary Schapiro emphasized that the SEC must have a role in the areas of systemic risk that are part of its investor protection mandate. [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]
7 Apr 2011, 9:59 am
In a letter to SEC Chair Mary Schapiro and CFTC Chair Gary Gensler, the Chairs of the principal Congressional committees overseeing the implementation of the Dodd-Frank Act reiterated the critical importance of establishing a regulatory regime that will not create economic disincentives for end-users to access the derivatives markets. [read post]
2 Jul 2012, 5:00 am
On June 28 Securities and Exchange Commission Chairman Mary L. [read post]
2 Sep 2009, 8:50 am
Chairman Mary Schapiro of the SEC recently sent an open letter to chief executive officers of broker-dealer firms. [read post]
16 Jun 2011, 3:38 pm
As Congress becomes increasingly concerned with issues of regulatory arbitrage and US competitive disadvantage around Dodd-Frank regulatory implementation, SEC Chair Mary Schapiro said that the SEC has been actively engaged with international securities and market regulators through informal conversations and more formally through participation in various international task forces and working groups and encouraging coordination and limiting opportunities for regulatory arbitrage. [read post]
21 Oct 2015, 4:12 am
Of those there have been 12 women: Roberta Karmel; Barbara Thomas; Aulana Peters; Mary Schapiro (counted twice); Laura Unger; Cynthia Glassman; Annette Nazareth; Kathleen Casey; Elisse Walter; Mary Jo White and Kara Stein. [read post]
30 Jul 2013, 6:16 am
It is too soon to predict exactly how they may reshape the program—in contrast with this period four years ago, when Chairman Mary Schapiro and Enforcement Director Robert Khuzami assumed their positions in the wake of Madoff and the financial crisis and with a mandate for major reform, the new team is moving more incrementally. [read post]
16 Sep 2011, 2:34 pm
” SEC Chairman Mary Schapiro has plenty of experience being on the defensive, but yesterday even she appeared stunned as legislators asked her why the SEC is overstepping the EPA’s authority and regulating hydraulic fracturing, or fracking, a process used to access underground reserves of natural gas and oil. [read post]
3 Mar 2011, 4:29 pm
At the request of SEC Chair Mary Schapiro, SEC General Counsel David Becker responded to a letter from House Financial Services Chair Spencer Bachus (R-AL) asking for a response on a series of questions regarding SEC General Counsel David Becker, who is a defendant in a clawback lawsuit initiated by Irving Picard, the trustee in the Bernard L. [read post]
13 Feb 2009, 9:53 am
The decision may be reflective of a change in approach to such proposals under new SEC chairwoman Mary Schapiro. [read post]
17 Oct 2011, 12:37 pm
Panelists at an SEC roundtable on the execution, clearance and settlement of microcap securities called for a more transparent and holistic process in response to a question from SEC Chairman Mary Schapiro on what the SEC could do is the area to enhance investor protection. [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]
