Search for: "MARY SCHAPIRO"
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22 Jul 2010, 11:00 am
According to SEC Chairman Mary Schapiro, the current form's check-the-box formal "frequently does not correspond well to an adviser's business. [read post]
17 May 2012, 1:00 pm
On May 22, the banking committee will look into “Implementing Derivatives Reform: Reducing Systemic Risk and Improving Market Oversight” with Securities and Exchange Commission Chairwoman Mary Schapiro and Commodity Futures Trading Commission Chairman Gary Gensler. [read post]
9 Nov 2009, 7:51 am
Then SEC chairman Mary Schapiro issued a statement supportive of the two boards - an indirect affirmation of the convergence process. [read post]
19 Nov 2010, 8:17 am
Schapiro Opening Statement at the SEC Open Meeting: Item 4 — Proposed Regulation SBSR Chairman Mary L. [read post]
7 May 2009, 2:17 pm
Give the Securities and Exchange Commission and its new chairman, Mary Schapiro, credit where it is due. [read post]
14 Dec 2011, 9:07 am
The meeting included Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); Jonathan Faull, Director General for Internal Market and Services at the European Commission; Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; Teo Swee Lian, Deputy Managing Director (Financial Supervision) of the Monetary Authority of Singapore; Mary Condon, Vice-Chair of… [read post]
29 Dec 2011, 10:46 am
The proposal was included in a letter sent to Senator Jack Reed by SEC Chairman Mary Schapiro last month. [read post]
21 Sep 2011, 10:13 am
Remarkably, the Inspector General found that seven SEC officials including Chairman Mary Schapiro and now General Counsel Mark Cahn were informed of the existence of this account, yet "none of these individuals recognized a conflict or took any action to suggest that [Mr.] [read post]
2 Feb 2010, 1:41 pm
In addition to Bair, the commission heard from Securities and Exchange Commission Chairman Mary Schapiro, who said a program set up by the SEC in 2004 to supervise investment banks was a failure. [read post]
27 Oct 2010, 9:12 pm
SEC Chairman Mary Schapiro denied the allegation. [read post]
20 Aug 2012, 10:07 pm
Securities Law SEC Further Delays Ruling on Title II of JOBS Act The SEC Chairman Mary Schapiro has informed members of Congress that the SEC will delay implementing rules that would give effect to Title II of the JOBS Act, which will remove the general solicitiation ban of securities offered under Rule 506. [read post]
25 Feb 2011, 12:00 pm
If such a budget is approved, SEC Chairman Mary Schapiro has said that the commission would have to slash 600 staff positions and wouldn't be able to implement the 93 rules and carry out the 20 studies mandated by the Dodd-Frank Act. [read post]
9 Feb 2009, 2:16 pm
The SEC's new chairman, Mary Schapiro, sent a letter to the subcommittee leaders after the hearing ended, offering to find a way to give information to lawmakers without hurting the civil and criminal investigations of Madoff. [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]
1 Feb 2010, 11:12 am
SEC, FSA Officials Meet to Continue Strategic DialogueSEC Chairman Mary Schapiro met with U.K. [read post]
7 Dec 2009, 2:57 pm
This also means that just before she became Chairman of the SEC, Mary Schapiro received $10 million that was mostly tax deferred as a parting gift from all the securities dealers! [read post]
27 Jul 2012, 9:05 am
The agency has recommended that SEC Chairman Mary Schapiro identify what steps need to be completed (and when) so that the Commission can finally put out a final rule. [read post]
19 Nov 2012, 9:08 am
In a press release, SEC Chairman Mary L. [read post]
19 Jul 2010, 2:37 pm
As SEC Chair Mary Schapiro said recently, "the SEC's job is not to define for the market what constitutes 'good' or 'bad' governance . . . . [read post]
15 Mar 2017, 6:54 am
Then-Chair Mary Schapiro explained that it merely provided guidance to help ensure that the disclosure rules were consistently applied. [read post]
