Search for: "MARY SCHAPIRO"
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21 Jan 2009, 10:47 am
The resignation was expectd and, by creating an opening on the Commission, makes way for the appointment of Mary Schapiro. [read post]
16 Jun 2011, 4:49 pm
Jim Hamilton reports that SEC Chairman Mary Shapiro told Congress that she's trying to get foreign securities regulators to help prevent regulatory arbitrage: 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… [read post]
16 Nov 2012, 12:59 pm
Schapiro in a press release. [read post]
24 Jan 2013, 6:22 am
As the year drew to a close, Mary Schapiro announced her departure as Chairman, followed by several division directors. [read post]
28 Dec 2012, 9:23 am
No official announcement has been made, but if true this would be the third director to leave in the last month (with Meredith Cross, Division of Corporation Finance, and General Counsel Mark Cahn), not to mention Chairman Mary Schapiro’s retirement. [read post]
8 Sep 2010, 11:25 am
Securities and Exchange Commission Chairman Mary Schapiro discussed the "flash crash" of May 6 and the steps taken by the SEC to strengthen equity market structure. [read post]
5 Apr 2012, 6:38 am
At the recent “SEC Speaks” conference in Washington, DC this year, Chairman Mary Schapiro and senior Enforcement officials vowed to increase investor protection through use of the SEC’s expanded authority under the Dodd-Frank Act and initiatives designed to help the SEC enforcement staff proactively detect and prevent securities law violations. [read post]
15 Jan 2013, 8:40 am
The proposed rule is a follow-on to former SEC Chairman Mary Schapiro's "open letter" to broker-dealers dated August 31, 2009 (http://www.sec.gov/news/press/2009/2009-189- letter.pdf). [read post]
4 Feb 2013, 10:11 am
For purposes of this comment letter, only the first objection noted above requires further amplification.Concerns Expressed by the SEC On August 31, 2009, former SEC Chairman Mary L. [read post]
24 May 2011, 12:53 pm
As a senior SEC staffer at the time, he was noting the view of SEC Chair Mary Schapiro’s view that when investors receive similar services from similar financial service providers they should receive the same level of protection regardless of the label applied to that financial service provider. [read post]
9 Oct 2009, 4:30 am
Yesterday, SEC chairman Mary Schapiro reinforced that statement at an IOSCO technical committee conference: she put accounting at the top of her list of three critical regulatory priorities, saying: "The crisis has highlighted importance of implementing and enforcing high quality and consistent accounting standards around the More... [read post]
19 Apr 2010, 3:32 pm
SEC Chairman Mary Schapiro sided with Democrats Luis Aguilar and Elisse Walter to approve the case, said the people, who declined to be identified because the vote wasn? [read post]
4 Feb 2011, 3:38 pm
But according to Reuters, Chairwoman Mary Schapiro says that the SEC is unable to keep up with trading that happens "at the speed of light. [read post]
26 Nov 2012, 6:29 pm
In other securities news, Securities and Exchange Commission Chairman Mary Schapiro wants Congress to grant the SEC the power to impose penalties that are more reflective of the losses sustained by investors. [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]
20 Jan 2009, 1:40 pm
Mary Schapiro will now lead the Commission (although I looked but could not find any official announcement that Chairman Cox had resigned, opening a position for her to fill). [read post]
8 Dec 2010, 11:07 am
The accounting industry will play a crucial role in helping investors regain confidence in the wake of [Bernie] Madoff’s scheme and the 2008 financial crisis, said SEC Chairman Mary Schapiro in a Dec. 6 speech at an American Institute of Certified Public Accountants conference in Washington. [read post]
25 Feb 2009, 6:27 am
In a Feb. 20 letter to Securities and Exchange Commission chair Mary Schapiro, Dodd offered his views on the intent and application of the pay vote terms in the bill and asked the SEC to provide guidance to companies "as soon as practicable. [read post]
1 Feb 2012, 8:38 am
In January, SEC Chairman Mary Schapiro sent a letter to Congressman Scott Garrett, Chairman of the House Capital Markets Subcommittee, stating that it needs to gather additional information for an economic analysis of the impact of a standard of care regulation. [read post]
4 Aug 2009, 9:52 pm
To Mary Schapiro (Chairperson of the Securities and Exchange Commission):The Securities and Exchange Commission must take immediate action to require Overstock.com (NASDAQ: OSTK) to properly restate all financial reports affected by its accounting errors and stop the company from issuing any more financial reports that violate Generally Accepted Accounting Principles (GAAP). [read post]
