Search for: "MARY SCHAPIRO"
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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]
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]
17 Aug 2011, 6:11 am
Editor’s Note: Mary Schapiro is Chairman of the U.S. [read post]
16 Aug 2011, 9:58 am
SEC Chair Mary Schapiro stated that: The staff is taking a fresh look at our rules to develop ideas for the Commission about ways to reduce the regulatory burdens on small business capital formation [read post]
15 Aug 2011, 12:00 am
By contrast, Securities and Exchange Commission (SEC) Chair Mary Schapiro earned only $165,300 last year, while Federal Reserve Chair Ben Bernanke earned $199,700. [read post]
12 Aug 2011, 8:22 am
SEC chairman Mary Schapiro’s view of this rule is that it “is designed to preserve investor confidence and promote market efficiency, recognizing short selling can potentially have both a beneficial and a harmful impact on the market. [read post]
9 Aug 2011, 11:26 am
SEC Chairman Mary Schapiro said she anticipates that the commission will tackle the audit trail proposal “in the very near term. [read post]
4 Aug 2011, 5:10 pm
The SEC Modernization Act is designed to make the SEC more efficient, consolidate duplicative offices, enable the agency to use better technology, and strengthen ethical safeguards to avoid conflicts of interest.Chairman Bachus emphasized that the reform draft should not be interpreted as criticism of SEC Chair Mary Schapiro or any of her predecessors. [read post]
4 Aug 2011, 5:10 pm
The SEC Modernization Act is designed to make the SEC more efficient, consolidate duplicative offices, enable the agency to use better technology, and strengthen ethical safeguards to avoid conflicts of interest.Chairman Bachus emphasized that the reform draft should not be interpreted as criticism of SEC Chair Mary Schapiro or any of her predecessors. [read post]
2 Aug 2011, 9:59 am
After almost two years of investigation by the Securities and Exchange Commission, Overstock.com (NASDAQ: OSTK), also known as O.co, faces a possible enforcement action and sanctions arising from certain accounting violations reported in this blog. [read post]
2 Aug 2011, 1:05 am
McHenry, Chairman of the Committee on Oversight and Government Reform, SEC Chairman Mary L. [read post]
27 Jul 2011, 4:47 am
Here's an excerpt from a Davis Polk alert: According to SEC Chairman Mary Schapiro, the SEC expects just about all issuers that currently rely on the existing test also to continue to qualify under the new criteria. [read post]
26 Jul 2011, 5:00 pm
Schapiro. [read post]
22 Jul 2011, 7:30 am
On Thursday, July 21, 2011 (the first anniversary of the passage of the Dodd-Frank Act), SEC Chairman Mary Schapiro testified before the U.S. [read post]
22 Jul 2011, 5:53 am
For example, 27 separate financial institution representatives were listed in attendance at an April 7, 2011, SIFMA-SEC meeting with Chairman Schapiro. [read post]
22 Jul 2011, 5:47 am
For example, 27 separate financial institution representatives were listed in attendance at an April 7, 2011, SIFMA-SEC meeting with Chairman Schapiro. [read post]
21 Jul 2011, 10:10 am
In testimony before the Senate Banking Committee on the first anniversary of the enactment of the Dodd-Frank Act, SEC Chair Mary Schapiro said that if the SEC does not receive additional resources, many of the issues highlighted by the financial crisis, and which the Dodd-Frank Act seeks to fix will not be adequately addressed, since the Commission will not be able to build out the technology and hire industry expertise and other staff desperately needed to oversee and police these… [read post]
20 Jul 2011, 6:25 am
SEC chairman Mary Schapiro said pressures caused by Dodd-Frank will “affect our ability to police Wall Street effectively,” she said, unless the SEC talks lawmakers into a substantial increase in the agency’s budget of $1.185 billion for the financial year starting in October. [read post]
19 Jul 2011, 8:03 am
He urged people to ask SEC Chair Mary Schapiro and CFTC Chair Gary Gensler if their agencies have been weakened because of a Commission structure.Senator Shelby said that the key issue is making the Bureau accountable and not to hinder consumer protection efforts. [read post]
18 Jul 2011, 11:33 am
Vincent McCrudden, a former trader, pleaded guilty to charges that he threatened to kill more than 40 current and former regulatory officials, including Mary Schapiro of the S.E.C. and Gary Gensler of the C.F.T.C. [read post]
