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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]
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]
