Search for: "MARY SCHAPIRO"
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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]
21 Jul 2011, 10:06 am
Chair Mary Schapiro, Director of Enforcement Robert Khuzami, and other staff such as Steve Cohen, Jordan Thomas, and Sarit Klein put more than considerable thought and effort in refining the SEC whistleblower rules announced in May 2011. [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]
15 Jul 2011, 2:43 pm
McCrudden has been charged with “transmission of threats to injure” after sending vicious threats to 47 current and former officials involved in financial regulation.The defendant allegedly sent menacing emails and published “execution lists” on his website, targeting prominent figures like the SEC’s Mary Schapiro and the CFTC’s Gary Gensler.McCrudden’s lawyer, Bruce A. [read post]
15 Jul 2011, 11:38 am
Last month, Senator Rockefeller and four other Democratic senators wrote a letter to SEC Chairman Mary Schapiro, urging the agency to issue guidance on disclosure of data- security risk, including "material network breaches," attacks that may result in the theft of intellectual property or trade secrets. [read post]
15 Jul 2011, 11:38 am
Last month, Senator Rockefeller and four other Democratic senators wrote a letter to SEC Chairman Mary Schapiro, urging the agency to issue guidance on disclosure of data- security risk, including "material network breaches," attacks that may result in the theft of intellectual property or trade secrets. [read post]
15 Jul 2011, 10:38 am
Last month, Senator Rockefeller and four other Democratic senators wrote a letter to SEC Chairman Mary Schapiro, urging the agency to issue guidance on disclosure of data- security risk, including “material network breaches,” attacks that may result in the theft of intellectual property or trade secrets. [read post]
15 Jul 2011, 5:00 am
With that kind of growth, among other factors, you can imagine why Mary Schapiro wants a budget increase. [read post]
14 Jul 2011, 3:43 pm
SEC Chair Mary Schapiro said that the final regulations strike the correct balance between encouraging whistleblowers to pursue the route of internal compliance when appropriate, while providing them the option of heading directly to the SEC. [read post]
13 Jul 2011, 4:53 am
SEC Chairman Mary L. [read post]
11 Jul 2011, 6:12 pm
Hanks says that comments made by lawmakers and SEC Chairman Mary Schapiro indicate congressional intent to loosen the requirements, as well as “regulatory momentum. [read post]
11 Jul 2011, 7:43 am
With that kind of growth, among other factors, you can imagine why Mary Schapiro wants a budget increase. [read post]
8 Jul 2011, 11:00 am
On last year’s cover, SEC Chairman Mary Schapiro appeared in the center spot where Greenspan had posed. [read post]
8 Jul 2011, 5:00 am
That’s where the SEC’s Chairman, Mary Schapiro, and its Inspector General, H. [read post]
