Search for: "MARY SCHAPIRO"
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10 May 2011, 1:47 pm
Today SEC Chairman Mary Schapiro testified on the Hill about the SEC's role in capital formation. [read post]
10 May 2011, 12:05 pm
"Companies seeking access to capital should not be overburdened by unnecessary or superfluous regulations," SEC Chairwoman Mary Schapiro said in a statement. [read post]
10 May 2011, 9:10 am
In her opening remarks, SEC Chairman Mary Schapiro said that the proposal would provide guidance to market participants and clarify, through “clear and objective criteria,” whether a product was a swap under the CFTC’s purview, a security-based swap under the SEC’s purview, or a mixed swap under the jurisdiction of both agencies. [read post]
10 May 2011, 8:47 am
Schapiro to The Honorable Darrell E. [read post]
9 May 2011, 2:14 pm
Republican Senators on the Senate Banking Committee urge the watchdogs for regulators to make sure the agencies take cost into account in promulgating Dodd-Frank rules, and SEC Chair Mary Schapiro says agency will focus on cost-benefit analysis when it considers... [read post]
6 May 2011, 11:18 am
SEC Chairman Mary L. [read post]
4 May 2011, 12:53 pm
Schapiro... [read post]
4 May 2011, 10:58 am
.'s chairman, and Mary L. [read post]
2 May 2011, 10:46 am
.), sent a sharply worded letter to Chairman Mary Schapiro of the Securities and Exchange Commission (the “SEC”), in which he demanded that the SEC justify several of its rules regarding raising capital, including the “quiet period” that restricts a company’s communications ahead of an initial public offering (“IPO”) and the rules that limit the number of investors in private companies to 499. [read post]
21 Apr 2011, 2:48 pm
On April 6, 2011, Mary L. [read post]
18 Apr 2011, 1:30 pm
Last week, Mary Schapiro, the Chairman of the SEC, announced that the SEC plans to review the impact of its regulations on capital formation for small businesses. [read post]
18 Apr 2011, 2:46 am
Mailed: March-April Issue of The Corporate Counsel The March-April Issue of The Corporate Counsel includes pieces on: - Today's Marketplace for Securities of Pre-Public Companies - Mary Schapiro's April 6 Letter to Congress - The Big Banks' Loss Contingency Disclosure Approach--Will it Satisfy the SEC (and FASB)? [read post]
15 Apr 2011, 12:00 pm
Notable discussions included: (1) SEC Chairman Mary Schapiro’s response to Congressman Darrell Issa regarding capital formation and IPOs; (2) Proxy mechanics, such as the regulation of proxy advisory firms and proxy fees; (3) Observations with compliance, during the current proxy season, regarding new Say-on-Pay disclosure requirements. [read post]
13 Apr 2011, 3:16 pm
Jim McRitchie, a shareholder activist, an ally of Chevedden, and the publisher of the CorpGov.net Web site, has written to SEC Chairman Mary Schapiro to express his concern. [read post]
13 Apr 2011, 8:43 am
SEC Chair Mary Schapiro said that the SEC and CFTC are very focused on joint rulemaking. [read post]
13 Apr 2011, 6:30 am
Most notably those steps include: • A clear statement from SEC Chairman Mary Schapiro that companies need to make engagement a priority; • Guidance from the staff of the Division of Corporation Finance that meetings between corporate directors and shareholders are not prohibited by Regulation FD; and • A section in the SEC’s recent concept release on the U.S. proxy voting system dedicated to exploring ways to improve shareholder communications and participation… [read post]
12 Apr 2011, 2:03 pm
SEC Chairman Mary L. [read post]
12 Apr 2011, 8:00 am
SEC Chairman Mary Schapiro’s letter to Rep. [read post]
11 Apr 2011, 8:18 am
We have now received a copy of the letter that SEC Chairman Mary Schapiro sent to Rep. [read post]
11 Apr 2011, 6:12 am
This possibility, and all of the recent press addressing it, arises from a letter SEC Chairman Mary Schapiro released on April 6. [read post]
