Search for: "MARY SCHAPIRO"
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9 Jun 2011, 4:06 am
Letter Seeks SEC Guidance on Cybersecurity Disclosure In a May 11th letter to SEC Chair Mary Schapiro, five Democrat members of the Senate Committee on Commerce, Science & Transportation asked the SEC to "issue guidance regarding disclosure of information security risk, including material network breaches. [read post]
6 Jun 2011, 12:00 pm
Note to readers: Over the last four weeks, I sent several letters to Mary Schapiro, Chairman of Securities and Exchange Commission detailing, what I believe, are Regulation FD violations and questionable financial reporting by Green Mountain Coffee Roasters (NASDAQ: GMCR). [read post]
6 Jun 2011, 5:20 am
Therein, Narang was commenting upon the event:High-frequency traders should face greater scrutiny from U.S. regulators over practices like those that exacerbated a stock-market plunge a year ago, Securities and Exchange Commission Chairman Mary Schapiro said today.The interview with Lady Gaga on June 6 was recycled from Lady Gaga on "Mastering the Art of Fame", from February 13, 2011.The "City of David" story by Lesley Stahl was recycled from Oct 14, 2010.Query:… [read post]
2 Jun 2011, 7:33 am
” “I believe that the final recommendation strikes the correct balance,” SEC Chairman Mary Schapiro said. [read post]
1 Jun 2011, 6:12 pm
In January, I had the opportunity to visit with SEC Chairman Mary Schapiro, Director Khuzami, and SEC staff, and then separately with Commissioners Luis A. [read post]
1 Jun 2011, 4:02 am
Just Added: SEC Chair Mary Schapiro to Our "Say-on-Pay Intensive" Conference Lineup We are excited to announce that SEC Chair Mary Schapiro will open the second day of our annual package of executive pay conferences to be held on November 1st-2nd in San Francisco and by video webcast: "Tackling Your 2012 Compensation Disclosures: 6th Annual Proxy Disclosure Conference" and "The Say-on-Pay Workshop Conference: 8th Annual Executive… [read post]
31 May 2011, 4:15 pm
Noting that vital importance of the ongoing work of the FASB and the IASB to develop and improve financial accounting standards, SEC Chair Mary Schapiro praised the FASB and IASB for prioritizing projects in areas most in need of improved global standards, including revenue recognition, leases, financial instruments, and insurance. [read post]
31 May 2011, 7:18 am
In contrast, SEC Chairman Mary Schapiro commented that the rules “are intended to the break the silence of those who see a wrong” and that the SEC found the proper balance between encouraging whistleblowers to report internally, but also gave them the option to contact the SEC directly. [read post]
30 May 2011, 1:17 pm
SEC Chair Mary Schapiro emphasized that the Commission is absolutely committed to seeing if the 500-shareholder limit still makes sense and intends to do a thorough and rigorous analysis of this threshold. [read post]
29 May 2011, 10:40 pm
SEC Chairman Mary Schapiro has said that the proposal would advance the goal of decreasing the “danger of fraud” in private offerings. [read post]
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]
