Search for: "MARY SCHAPIRO"
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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]
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]
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]
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]
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]
27 Nov 2012, 11:16 am
Schapiro. [read post]
23 Jul 2010, 5:00 am
SEC Expects Massive Staff Increase Needed to Implement FinReg in Compliance Avenue Yesterday, SEC Chairman Mary Schapiro, during her Testimony Concerning Oversight of the U.S. [read post]
6 May 2009, 7:41 am
And, there was the departure of Enforcement Head Linda Chatman Thomsen within weeks of Mary Schapiro’s appointment as Chair of the SEC. [read post]
21 Aug 2012, 10:09 am
Schapiro, who advocated for the program. [read post]
23 Sep 2010, 8:00 am
According to SEC Chairman Mary Schapiro, "[u]nder these proposed rules, investors would have better information about a company's financing activities during the course of a reporting period - not just a period-end snapshot. [read post]
15 Jul 2008, 4:07 pm
Last month, Financial Industry Regulatory Authority CEO Mary Schapiro says that FINRA is worried that senior investors that are facing financial or economic difficulties may become victims of investment schemes if they opt for high-stake investments to recover their losses. [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]
3 Mar 2017, 3:40 am
Former SEC luminaries such as Mary Schapiro, Alan Beller and Elisse Walter are involved in the SASB – as well as former FASB Chair Bob Herz and Michael Bloomberg… Transcript: “The Art of Working With Proxy Advisors” We have posted the transcript for the recent CompensationStandards.com webcast: “The Art of Working With Proxy Advisors. [read post]
26 Aug 2010, 8:05 am
In describing the need for the new rules, SEC Chairman Mary Schapiro stated that [a]s a matter of fairness and accountability, long-term significant shareholders should have a means of nominating candidates to the boards of the companies that they own...Nominating a director candidate is not the same as electing a candidate to the board. [read post]
21 Jun 2012, 1:22 pm
According to SEC Chairman Mary L. [read post]
22 Dec 2010, 11:39 am
The possible legislative delay of Dodd-Frank regulations was heralded by an earlier letter from Financial Services Committee Chair Spencer Bachus (Rp-AL) to SEC Chair Mary Schapiro and CFTC Chair Gary Gensler stating that Congress will consider legislation to delay the statutory deadlines in Dodd-Frank if that will allow the SEC and CFTC to move deliberately and carefully to ensure that the derivatives regulatory regime is correctly implemented. [read post]
9 Feb 2012, 8:27 am
In a Jan. 19 letter to SEC Chairman Mary Schapiro, the groups state: "while compliance with the pay ratio provision may seem straightforward, there are significant hurdles and burdens faced by the business community in attempting to comply with it . . .There is a widespread misperception that this information is readily available at the touch of a button. [read post]
