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15 Sep 2021, 4:18 pm
Romero is also an adjunct professor of law at Georgetown University Law Center and University of Virginia Law School, teaching courses in securities regulation, cryptocurrency regulation, and federal oversight.Before the SIGTARP role, Romero served in other roles at SIGTARP and at the SEC, including as counsel to SEC Chairman Mary Schapiro and Chairman Christopher Cox, and as an attorney in the SEC Division of Enforcement. [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]
7 Sep 2011, 4:02 am
Chairman Mary L. [read post]
28 Feb 2012, 2:00 am
“I don’t feel any pressure at all to go along with anybody,” said Mary Schapiro, the chairman of the U.S. [read post]
27 Sep 2013, 12:27 pm
While some of the SEC’s enforcement program going forward will involve a continuation and reinforcement of efforts begun during the administration of former Chair Mary Schapiro and former Enforcement Director Robert Khuzami, much of it will entail new initiatives. [read post]
9 Apr 2011, 10:00 am
As I noted here and in GeekWire yesterday, SEC Chairman Mary Schapiro sent a letter this week to Representative Darrell Issa in which she discussed possible reforms being discussed within the SEC over rules that impact how startups raise capital. [read post]
27 May 2011, 9:29 am
In recent testimony before the House Oversight and Government Reform Committee, SEC Chair Mary Schapiro said that both the question of how holders are counted and how many holders should trigger registration need to be examined. [read post]
7 Jul 2011, 7:59 am
That’s where the SEC’s Chairman, Mary Schapiro, and its Inspector General, H. [read post]
9 Feb 2010, 12:26 pm
Brokerage industry lobbyists and SEC Chairman Mary Shapiro are trying to change draft legislation to water down duties owed by brokers to customers. [read post]
12 Sep 2011, 9:53 am
Chairman Mary L. [read post]
13 Aug 2013, 4:21 am
Jack Reed called [FINRA's then-chief executive] Mary Schapiro. [read post]
20 Mar 2012, 7:27 pm
SEC Chairman Mary Schapiro, Commissioner Luis Aguilar, former SEC chairman Arthur Levitt, the CFA Institute, the Consumer Federation of America, and the AFL-CIO are among those who have raised concerns about the broad reach of the House legislation. [read post]
24 Jul 2012, 8:33 am
The legislation responds, in part, to an earlier letter sent to Senator Reed, and Securities Subcommittee Ranking Member Larry Crapo (R-ID), by SEC Chair Mary Schapiro requesting statutory changes substantially enhancing the effectiveness of the SEC’s enforcement program by addressing existing limitations. [read post]
17 Feb 2012, 9:05 am
While Chairman Mary Schapiro has indicated that she intends for the SEC to abide by the order, the legislation is designed to codify that executive order and require her and future SEC Chairmen to abide by it.Specifically, the SEC Regulatory Accountability Act requires the SEC to clearly identify the nature of the problem that a proposed regulation is designed to address, as well as assess the significance of that problem, before issuing a new rule. [read post]
6 Jun 2011, 5:20 am
Therein, Narang was commenting upon the event:High-frequency traders should face greater scrutiny from U.S. regulators over practices like those that exacerbated a stock-market plunge a year ago, Securities and Exchange Commission Chairman Mary Schapiro said today.The interview with Lady Gaga on June 6 was recycled from Lady Gaga on "Mastering the Art of Fame", from February 13, 2011.The "City of David" story by Lesley Stahl was recycled from Oct 14, 2010.Query:… [read post]
21 Jun 2012, 9:00 pm
Securities and Exchange Commission (SEC) Chair Mary Schapiro testified before skeptical lawmakers from both parties today as she defended her campaign to overhaul the regulation of money-market funds. [read post]
10 Apr 2012, 6:34 am
"The SEC’s new Investor Advisory Committee is made up of individuals with a broad range of backgrounds and experiences," SEC Chairman Mary Schapiro said in a press release. [read post]
10 Apr 2009, 7:01 am
As SEC's new Chairwoman Mary Schapiro notes: "Clearly, the practice of short selling has both strong supporters and detractors. [read post]
17 Oct 2011, 8:05 am
The respective ideas get progressively bigger: in April, SEC Chair Mary Schapiro suggested that crowdfunding was essentially micro-finance, denoting offerings capped at $100,000 and individual investments of no more than $100; President Obama seems to think crowdfunding is suitable for raising up to $1,000,000, essentially a robust seed financing alternative; but the subcommittee doing the markups of the bill think crowdfunding means offerings of $5,000,000, an amount some tech… [read post]
14 Nov 2011, 9:25 am
According to the article, the Commission's head of human resources and an outside law firm hired to advise the agency recommended that one employee be fired, but Chairman Mary Schapiro elected not to do so because it "would harm the agency's work," according to an SEC spokesman. [read post]
