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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]
31 Jan 2011, 12:44 pm
I recently had the opportunity to meet and discuss the developing rules for the new SEC Whistleblower program with SEC Chairman Mary Schapiro, Director of Division of Enforcement Robert Khuzami, and SEC staff, as well as separately with each of the other Commissioners Luis A. [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]
28 Jan 2011, 5:00 am
Had issuers supported the proposal by the Cox Commission, it is likely that Mary Schapiro's Commission would not have proposed an access rule, Dodd-Frank would not have given access authority to the Commission, and shareholders would not now be singularly focused on the issue. [read post]
25 Jan 2011, 7:39 am
SEC Chairman Mary Schapiro said the two-year deferral was a "balanced and responsible way" to ensure that the rules do not unduly burden smaller reporting companies. [read post]
17 Jan 2011, 5:00 am
An access proposal had been made almost with the advent of the change in administration and the ascension of Mary Schapiro as chair. [read post]
5 Jan 2011, 5:00 am
SEC Chairman Mary Schapiro said the agency would need to hire an additional 800 people to meet its expanded duties under Dodd-Frank. [read post]
26 Dec 2010, 11:22 am
In a letter to SEC Chair Mary Schapiro, Rep. [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]
21 Dec 2010, 6:19 am
” Other members of the list includes Christopher Dodd and Barney Frank, who led passage of the landmark Dodd-Frank financial reform law, Mary Schapiro, the SEC’s chair, and Stephen Haddrill, CEO of the UK Financial Reporting Council. [read post]
20 Dec 2010, 7:39 am
SEC Chairman Mary Schapiro was recused from participating in the vote on resource extraction because of her personal stock portfolio, she said. [read post]
