Search for: "MARY SCHAPIRO"
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27 May 2011, 9:29 am
In recent testimony before the House Oversight and Government Reform Committee, SEC Chair Mary Schapiro said that both the question of how holders are counted and how many holders should trigger registration need to be examined. [read post]
26 May 2011, 5:00 am
Schapiro. [read post]
25 May 2011, 1:31 pm
The SEC's Press Release announcing the adoption of the rules (and providing a brief summary) is here, while a copy of the SEC's Release and the rules themselves are available here.At the beginning of Wednesday's open meeting regarding the adoption of the rules, SEC Chairman Mary Schapiro acknowledged that it was "critical to be able to leverage the resources of people who may have first-hand information about potential violations," and that "it is… [read post]
25 May 2011, 1:30 pm
However, a recent letter by the SEC Commissioner, Mary Schapiro, suggests that the SEC is considering a new exemption from the SEC regulations which could allow businesses access to a new “crowd” of investors. [read post]
25 May 2011, 11:33 am
“I believe that incentivizing—rather than requiring—internal reporting is more likely to encourage a strong internal compliance culture,” said SEC Chairman Mary Schapiro at today’s meeting. [read post]
25 May 2011, 9:59 am
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]
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]
24 May 2011, 9:23 am
In a letter to SEC Chair Mary Schapiro, the Senator also asked if the SEC ever drafted a Wells Notice with regard to the hedge fund related to any of these referrals or related to any other matter and, if so, to provide a copy of any draft or final Wells Notice. [read post]
22 May 2011, 12:44 pm
In a letter to SEC Chair Mary Schapiro, Senator Charles Grassley (R-Iowa) also noted that the proposed whistleblower regulations perpetuate an environment hostile to whistleblowers by failing to provide any guidance to prevent retaliation against employees who speak up. [read post]
19 May 2011, 10:02 am
He “served this agency well during a very difficult time,” SEC Chairman Mary Schapiro said in a statement when he departed in January 2010 to join Wilmer as a partner. [read post]
19 May 2011, 8:52 am
SEC Chairman Mary Schapiro said the proposals are “intended to strengthen the integrity and improve the transparency of credit ratings. [read post]
19 May 2011, 8:00 am
The appointments will maintain the political balance on the Commission with three democrats (although the Chair, Mary Schapiro, is actually an independent) and two republicans (Commissioner Paredes is the other). [read post]
19 May 2011, 4:28 am
Aguilar typically sides with Chairman Mary Schapiro and Commissioner Elisse Walter, who occupy the other two Democratic seats. [read post]
18 May 2011, 5:17 pm
Grassley (R-IA) recently released a letter to Mary Schapiro, the Chairman of the Securities and Exchange Commission (SEC) expressing his "serious concerns" with the Proposed Rules for implementing the whistleblower provisions of Dodd-Frank. [read post]
16 May 2011, 9:47 am
" Tuesday, SEC Chairman Mary Schapiro, in testimony on Capitol Hill, told the House Oversight and Government Reform Committee that "fraudulent investment schemes disguised as investment opportunities" accounted for 22 percent of the agency's enforcement actions in 2010. [read post]
16 May 2011, 5:00 am
Schapiro Image is Reaching for Blue Skies by Kelvin Tan CC BY 2.0 [read post]
13 May 2011, 2:18 pm
Grassley (R-IA) recently released a letter to Mary Schapiro, the Chairman of the Securities and Exchange Commission (SEC) expressing his “serious concerns” with the Proposed Rules for implementing the whistleblower provisions of Dodd-Frank. [read post]
12 May 2011, 11:56 am
SEC Chairman Mary L. [read post]
12 May 2011, 4:56 am
According to SEC Chairman Mary Schapiro, about 22% of the SEC’s enforcement cases in 2010 year involved investor fraud from securities offerings. [read post]
10 May 2011, 10:11 pm
The SEC heightened interest in this topic was specifically detailed in an April 27, 2011 letter that SEC Chairman Mary Schapiro sent to the House Committee on Oversight and Government Reform. [read post]
