Search for: "MARY SCHAPIRO"
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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]
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]
14 Feb 2011, 12:52 pm
The following is a statement from SEC Chairman Mary L. [read post]
14 Feb 2011, 12:37 pm
But what's truly astonishing here is that the government seems to be encouraging a megabank to engage in questionable surveillance and smear tactics, while itself lacking even basic modes of understanding what's going on in our "too big to fail" behemoths.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]
13 Feb 2011, 11:46 am
In a letter to SEC Chair Mary Schapiro, the Senator, a leading member of the Banking Committee, also urged the SEC to review policies concerning when exchanges and other trading companies are required to publicly report information on security breaches, and what the effects of the timing of such revelations are on both criminal investigations and markets.Nasdaq OMX Group has acknowledged that, over the course of the past year, hackers of unknown origin repeatedly tried to break… [read post]
13 Feb 2011, 7:19 am
In a letter to SEC Chair Mary Schapiro and CFTC Chair Gary Gensler, House Financial Services Committee Chair Spencer Bachus (R-ALA) requested information regarding the protocols in place to ensure the integrity of the equity and commodity trading systems at various exchanges. [read post]
9 Feb 2011, 2:35 pm
Schapiro. [read post]
4 Feb 2011, 5:38 pm
The continuing resolution that has essentially frozen the SEC budget at 2010 levels has impacted the Commission’s core mission, said Chairman Mary Schapiro, separate and apart from the Dodd-Frank duties to regulate derivatives, hedge fund advisers and credit rating agencies. [read post]
4 Feb 2011, 3:38 pm
But according to Reuters, Chairwoman Mary Schapiro says that the SEC is unable to keep up with trading that happens "at the speed of light. [read post]
4 Feb 2011, 6:40 am
We are kicking off The SEC Speaks in 2011 with a keynote by Chairman Mary Schapiro. [read post]
3 Feb 2011, 8:02 am
As an added bonus we will be live streaming SEC Chairman Mary Schapiro’s remarks right here on the Securities Law Practice Center at 9:15am on Friday!! [read post]
1 Feb 2011, 9:36 am
SEC Chairman Mary Schapiro said that the two-year deferral period is designed to assist the Commission in its consideration of these factors and will enable adjustment of the rule if appropriate before it applies to smaller issuers.The SEC amended Rule 14a-4, which relates to the form of proxy that companies are required to include with their proxy materials to require that issuers present four choices to their shareholders in connection with the advisory vote on frequency. [read post]
29 Jan 2011, 5:18 pm
Per SEC Chairman Mary Schapiro, the toughest reporting requirements under the rule would affect approximately 200 large hedge fund advisers in the US who represent over 80% of assets under management, as well as some 250 large private equity fund advisers. [read post]
