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30 Mar 2011, 6:00 am
Mary Schapiro, the chair of the SEC, argued in a Senate hearing that the agency needed increased funding to perform its new responsibilities under Dodd-Frank. [read post]
25 Mar 2011, 5:08 am
With Congress placing a big fat target on the SEC's backside, the movie came to mind because they have called SEC Chair Mary Schapiro to testify so many times in recent weeks that I'm not sure I can accurately count them all (try counting them for yourself; see Dave's recent blog on the budget fight). [read post]
15 Mar 2011, 10:21 am
" Chairman Mary Schapiro regrets this now. [read post]
15 Mar 2011, 9:32 am
SEC Chairman Mary Schapiro testified on Thursday (March 10) before a Senate Committee and today (March 15) before a House Subcommittee in support of the Administration's proposed budget for Fiscal Year 2012, which seeks $1.4 billion for the SEC (an increase over the $1.2 billion sought Fiscal Year 2011). [read post]
11 Mar 2011, 6:50 am
But indeed he was, and on Thursday, SEC chairman Mary Schapiro answered questions from Republican lawmakers over the issue. [read post]
11 Mar 2011, 6:18 am
According to SEC Chairperson Mary L. [read post]
11 Mar 2011, 5:34 am
The WSJ discusses yesterday’s testimony by SEC chair Mary Schapiro. [read post]
10 Mar 2011, 3:09 pm
Today was a big day for the SEC on Capitol Hill, as Chair Mary Schapiro testified before two different oversight committees on the SEC's budget and ethical issues: Testimony on the Financial Management, Work Force Management and Internal Operations of... [read post]
10 Mar 2011, 7:29 am
Mary L. [read post]
8 Mar 2011, 10:09 pm
Mary L. [read post]
4 Mar 2011, 7:16 am
SEC Chairman Mary L. [read post]
3 Mar 2011, 4:31 pm
As the SEC and CFTC implement the derivatives regulatory regime mandated by the Dodd-Frank Act, SEC Chair Mary Schapiro pledged to consult with non-US securities and financial regulators in an effort to promote consistent standards and avoid conflicting requirements, where possible. [read post]
3 Mar 2011, 4:29 pm
At the request of SEC Chair Mary Schapiro, SEC General Counsel David Becker responded to a letter from House Financial Services Chair Spencer Bachus (R-AL) asking for a response on a series of questions regarding SEC General Counsel David Becker, who is a defendant in a clawback lawsuit initiated by Irving Picard, the trustee in the Bernard L. [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]
24 Feb 2011, 4:32 pm
In a letter to SEC Chair Mary Schapiro, House Financial Services Chair Spencer Bachus (R-AL) asked for a response on a series of questions regarding SEC General Counsel David Becker, who is a defendant in a clawback lawsuit initiated by Irving Picard, the trustee in the Bernard L. [read post]
18 Feb 2011, 1:29 pm
Last month, 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]
17 Feb 2011, 8:27 am
In President Obama’s proposed 2012 budget, funding for the SEC and the CFTC actually increase (an explanation is in this article); however, Roper said that user fees completely pay for the increase, which means the increase will have no impact on the federal deficit – a point that SEC Chairman Mary Schapiro confirmed on Feb. 14. [read post]
16 Feb 2011, 5:26 pm
In a bi-partisan letter to SEC Chair Mary Schapiro and CFTC Chair Gary Gensler, key Senators said that it is critical that the commercial end user exemption provided both in Sections 723 and 763 of Dodd-Frank be implemented consistently with Congressional intent, which is that margin requirements should not be applied to the end users of OTC derivatives. [read post]
15 Feb 2011, 1:08 pm
SEC Chairman Mary L. [read post]
15 Feb 2011, 10:55 am
SEC Chair Mary Schapiro recently observed that “the technology for collecting data and surveilling our markets is often as much as two decades behind the technology currently used by those we regulate. [read post]
