Search for: "MARY SCHAPIRO"
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8 Jul 2011, 2:00 am
1) Footnoted: SEC works to get rid of “The Lease to Nowhere” – This week, Mary Schapiro and SEC Inspector General David Kotz were on the hot seat in a Congressional hearing to discuss the infamous $556 million, 10-year lease that the SEC signed last summer for 900,000 square feet of space in DC. [read post]
7 Jul 2011, 11:36 am
In any event, US participation in the process is essential to making sure investor focus remains at the centerSEC Chair Mary Schapiro asked about the danger in the expansion of differences in IFRS interpretations country-by-country as we go through time. [read post]
7 Jul 2011, 7:59 am
That’s where the SEC’s Chairman, Mary Schapiro, and its Inspector General, H. [read post]
4 Jul 2011, 8:17 pm
According to SEC Chairwoman Mary L. [read post]
4 Jul 2011, 2:59 pm
In a letter to SEC Chair Mary Schapiro, the banking associations said the proposal goes well beyond what is required either by the Dodd-Frank Act or the problems that it was written to solve. [read post]
3 Jul 2011, 6:56 am
Late last month SEC Chairman Mary Schapiro announced at a Wall Street Journal forum that the Commission is looking at a variety of options to deal with concerns about reverse mergers. [read post]
29 Jun 2011, 1:54 pm
While SEC Chairman Mary Schapiro has indicated that she intends for the SEC to abide by the order, noted Chairman Garrett, the legislation would codify that Executive Order and require her and future SEC Chairs to abide by it.Specifically, the SEC Regulatory Accountability Act requires the SEC to clearly identify the nature of the problem that a proposed regulation is designed to address, as well as assess the significance of that problem, before issuing a new rule. [read post]
29 Jun 2011, 5:34 am
More Data to Public At the June 22 open meeting, SEC Chairman Mary Schapiro said the new rules will fill a key regulatory gap by allowing the SEC and investors insight into the formerly opaque world of hedge and private equity funds. [read post]
23 Jun 2011, 2:00 am
For example, the impact of regulations, including the 500 holder of record threshold in Section 12(g) of the Exchange Act, was recently put in the spotlight by correspondence between Congressman Darrell Issa (R-CA), Chairman of the House Committee on Oversight and Government Reform, and Mary Schapiro, Chairman of the SEC.[10] Subsequently, Chairman Schapiro also testified on May 10, 2011, before the U.S. [read post]
22 Jun 2011, 3:51 pm
According to SEC Chair Mary Schapiro, the registration and reporting requirements are designed to obtain a meaningful collection of data that would aid investors and assist SEC regulatory and examination efforts, without requiring any disclosure that could inadvertently harm the interests of private fund investors. [read post]
22 Jun 2011, 7:45 am
Mary L. [read post]
21 Jun 2011, 12:45 pm
Accordingly, NASAA strongly urged the Committee to remove or clarify this language to avoid any unintended limitations on the states’ ability to protect investors.Expressing NASAA's support for SEC Chair Mary Schapiro's plan to establish an Advisory Committee on Small and Emerging Companies, the state regulators suggested that NASAA's Model Accredited Investor Exemption (MAIE) could serve as an option for the Advisory Committee to consider as it develops ideas… [read post]
19 Jun 2011, 9:29 am
In a letter to the SEC Chair Mary Schapiro, he noted that the registration of banks offering traditional banking products to municipalities was not the focus of Section 975 of Dodd-Frank and was not intended by Congress. [read post]
17 Jun 2011, 10:22 am
In response to congressional concerns that the unilateral imposition of the Dodd-Frank Volcker provisions may create a competitive disadvantage for US markets, SEC Chair Mary Schapiro assured the House Financial Services Committee that the SEC would seek extensive comment on the issues of global competitiveness to the extent the Commission can address them in any proposed regulations implementing the Volcker Rule. [read post]
17 Jun 2011, 6:00 am
Bloomberg News SEC Chair Mary Schapiro We noted last month that the Securities and Exchange Commission had voted to propose tougher regulations for credit rating firms in an effort to ensure that ratings are balanced and not tainted by a firm’s possible desire to curry favor with the company being rated. [read post]
17 Jun 2011, 3:43 am
November 2nd's "The Say-on-Pay Workshop: 8th Annual Executive Compensation Conference" includes: - SEC Chair Mary Schapiro's Keynote (via pre-taped video) - Say-on-Pay Shareholder Engagement: The Investors Speak - Say-on-Pay: The Proxy Advisors Speak - How to Work with ISS & Glass Lewis: Navigating the Say-on-Pay Minefield - Putting Your Best Foot Forward: How to Ensure Your Pay Practices Pass - Say-on-Pay: Director (and HR Head) Perspectives -… [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 Jun 2011, 3:38 pm
As Congress becomes increasingly concerned with issues of regulatory arbitrage and US competitive disadvantage around Dodd-Frank regulatory implementation, 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 regulatory arbitrage. [read post]
16 Jun 2011, 2:38 pm
The older trades "would not appear to trigger any concerns regarding ongoing investigations," he said in a letter to SEC Chairman Mary Schapiro on Wednesday. [read post]
16 Jun 2011, 2:38 pm
The older trades "would not appear to trigger any concerns regarding ongoing investigations," he said in a letter to SEC Chairman Mary Schapiro on Wednesday. [read post]
