Search for: "MARY SCHAPIRO"
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1 Dec 2011, 12:15 pm
According to media reports (here and here, for example), SEC Chairman Mary Schapiro, in a letter dated November 28, 2011 to Senators Jack Reed and Larry Crapo, has 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.The request apparently was submitted hours after Judge Jed Rakoff rejected the SEC's proposed settlement with Citigroup… [read post]
1 Dec 2011, 7:39 am
Earlier this year, her boss, SEC Chair Mary Schapiro, had indicated that an offering capped at $100,000, with a $100 dollars per investor limit, was what the SEC meant by crowdfunding. [read post]
1 Dec 2011, 5:20 am
” Fred Siegel is interviewed by Matthew Kaminski on New York City and public sector unions as the “New Tammany Hall” [WSJ] SEC chief Mary Schapiro says firing failed employees would “harm” the agency [Mark Calabria, Cato]. [read post]
30 Nov 2011, 11:18 am
In a letter to Senators Jack Reed (D-RI) and Larry Crapo (R-ID), SEC Chair Mary Schapiro requested statutory changes that would substantially enhance the effectiveness of the SEC enforcement program by addressing existing limitations. [read post]
30 Nov 2011, 8:39 am
But even SEC Chairman Mary Schapiro acknowledges that crowdfunding is [...] [read post]
23 Nov 2011, 8:48 am
Implementing the derivatives regulatory regime mandated by the Dodd-Frank Act and bringing this wholly unregulated market under a regulatory umbrella has presented the SEC with unique challenges, especially for the Commission as a first mover internationally, said SEC Chair Mary Schapiro in a dialogue at the Managed Funds Association Outlook 2011 seminar. [read post]
21 Nov 2011, 5:50 am
In a September hearing before the House Financial Services Committee Chairman Mary Schapiro expressed several concerns with the Act. [read post]
15 Nov 2011, 3:57 am
SEC Chair Schapiro Speaks at Our Conference Last week, the SEC posted a transcript of the remarks made by SEC Chair Mary Schapiro at our "Say-on-Pay Workshop: 8th Annual Executive Compensation Conference. [read post]
14 Nov 2011, 9:25 am
According to the article, the Commission's head of human resources and an outside law firm hired to advise the agency recommended that one employee be fired, but Chairman Mary Schapiro elected not to do so because it "would harm the agency's work," according to an SEC spokesman. [read post]
14 Nov 2011, 4:14 am
Schapiro fire one person, whom the SEC described as a manager in the office that inspects investment firms. [read post]
GAO Report on Federal Regulatory Process Sees Key Role for FSOC, Notes SEC-CFTC Coordination Efforts
11 Nov 2011, 4:54 pm
In its letter to FSOC, signed by SEC Chairman Mary Schapiro, the SEC noted the challenges of analyzing the economic impact of financial regulations, but recognized the importance of such analysis as part of the rulemaking process. [read post]
10 Nov 2011, 9:56 am
"SEC Chairman Mary L. [read post]
DOJ Elects Not to Investigate SEC's Former General Counsel For Conflict of Interest in Madoff Matter
7 Nov 2011, 8:30 am
Becker, SEC Chairman Mary Schapiro and Inspector General David Kotz testified before a joint session of two Congressional Subcommittees about these events in September 2011 as previously discussed here. [read post]
7 Nov 2011, 3:53 am
He had also informed SEC Chairman Mary Schapiro about the account. [read post]
3 Nov 2011, 9:21 am
Coordination, Consultation In her opening remarks, SEC Chairman Mary Schapiro said the new rule and Form PF—for “private funds”—was the result of consultations with FSOC and international regulators, and input from industry participants. [read post]
3 Nov 2011, 6:58 am
Schapiro. [read post]
31 Oct 2011, 9:53 am
Iowa) of the Senate's Committee on the Judiciary asked SEC Chairman Mary Schapiro whether the Commission had 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]
28 Oct 2011, 3:20 pm
According to her biography on the SEC website, SEC Chairman Mary L. [read post]
24 Oct 2011, 9:05 am
S.E.C. chairwoman, Mary L. [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]
