Search for: "MARY SCHAPIRO"
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21 Sep 2011, 10:13 am
Remarkably, the Inspector General found that seven SEC officials including Chairman Mary Schapiro and now General Counsel Mark Cahn were informed of the existence of this account, yet "none of these individuals recognized a conflict or took any action to suggest that [Mr.] [read post]
19 Sep 2011, 3:19 pm
Barney Frank to SEC Chairman Mary Schapiro, in which he said that if Congress intended the SEC to simply copy the Advisers Act and apply it to broker-dealers, it would have simply repealed the broker-dealer exemption, an approach Congress considered but rejected. [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]
16 Sep 2011, 7:56 am
On Thursday, September 15, SEC Chairman Mary Schapiro and former SEC Chairman Harvey Pitt provided testimony to the House Committee on Financial Services. [read post]
15 Sep 2011, 5:28 pm
In testimony before the House Financial Services Committee, SEC Chairman Mary Schapiro discussed two pieces of legislation that would restructure the SEC's organization and significantly impact the Commission's rulemaking process. [read post]
15 Sep 2011, 8:44 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]
12 Sep 2011, 9:53 am
Chairman Mary L. [read post]
10 Sep 2011, 6:28 pm
SEC Chairman Mary Schapiro later offered him a position at the agency as head of a new unit that would colloquially be called the “Office of Smart People. [read post]
9 Sep 2011, 11:42 am
At the meeting, SEC Chairman Mary Schapiro said that the commission’s approach to regulating fund use of derivatives has “developed on an ad hoc basis as new derivative instruments were introduced and new derivative hedging strategies gained popularity. [read post]
SEC General Counsel Instructs Division of Enforcement to Stop Existing Record-Destruction Procedures
9 Sep 2011, 7:43 am
Iowa) asked SEC Chairman Mary Schapiro whether the Commission 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]
8 Sep 2011, 6:15 am
David Becker, a former SEC general counsel, and two of his brothers in 2004 inherited $2 million that had been invested with Madoff—a connection SEC Chairman Mary Schapiro said Becker disclosed soon after his appointment in 2009. [read post]
7 Sep 2011, 2:41 pm
Chairman Mary L. [read post]
7 Sep 2011, 8:26 am
Jul. 22, 2011).In announcing the decision not to seek a rehearing, SEC Chairman Mary Schapiro said: I firmly believe that providing a meaningful opportunity for shareholders to exercise their right to nominate directors at their companies is in the best interest of investors and our markets. [read post]
7 Sep 2011, 8:21 am
Schapiro said. [read post]
7 Sep 2011, 5:29 am
SEC Chairman Mary L. [read post]
7 Sep 2011, 4:58 am
In 2010, at the SEC’s Government-Business Forum on Small Business Capital Formation, SEC Chairman Mary L. [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]
7 Sep 2011, 4:02 am
Chairman Mary L. [read post]
6 Sep 2011, 5:44 pm
Some investor advocates, including the Council of Institutional Investors, had urged the SEC to seek additional judicial review and warned that the panel's reasoning could be used to challenge other rulemaking efforts.While announcing the SEC's decision not to seek reconsideration, SEC Chairman Mary Schapiro reaffirmed her support for the concept of proxy access. [read post]
1 Sep 2011, 8:40 am
In a letter to SEC Chair Mary Schapiro, two House oversight Chairs said that they expect the SEC to refrain from undertaking any important or controversial initiatives, including significant rulemaking, until there are once again five Commissioners. [read post]
