Search for: "MARY SCHAPIRO"
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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 Jul 2009, 12:43 pm
SEC Chairman Mary Schapiro stated, "These measures will help reduce the likelihood of investor fraud and facilitate SEC action against bad actors involved in securities laws violations. [read post]
9 Feb 2010, 2:53 pm
In voting to release the guidance, SEC Chairman Mary Schapiro noted that nothing in the guidance should be construed as “opining on whether the world’s climate is changing, at what pace it might be changing, or due to what causes. [read post]
25 Oct 2012, 9:01 pm
Indeed, Mary Schapiro expects to see a standard proposed in 2013. [read post]
30 May 2012, 8:55 pm
When I met in 2011 with SEC Chairman Mary Schapiro and the other SEC Commissioners with other whistleblower advocates to discuss the proposed SEC Whistleblower rules, it was apparent--and shocking--that this false argument was being considered seriously. [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]
16 Jun 2010, 10:47 am
Kanjorski endorsed the strong leadership of current SEC Chair Mary Schapiro and urged Congress to give her the tools to do the job. [read post]
17 Aug 2009, 8:03 am
Just to be clear: the letter isn’t actually addressed to Warren Buffett or sent by Mary Schapiro, but instead is between CFO Marc Hamburg and Accounting Branch Chief Carlton Tartar. [read post]
18 Jun 2009, 3:26 pm
Most recently, On June 10, 2009, Chairman Mary Schapiro issued a statement considering several proposals requiring greater proxy disclosure of the following: How a company and its board manages risk What is the company’s overall compensation approach? [read post]
15 Jul 2011, 5:00 am
With that kind of growth, among other factors, you can imagine why Mary Schapiro wants a budget increase. [read post]
24 Jul 2009, 5:36 am
Schapiro summarized the likely impact the proposed amendments would have by explaining that they would "help investors make more knowledgeable investment decisions about municipal securities, while at the same time enabling broker-dealers to satisfy their obligations. [read post]
12 Oct 2011, 6:57 am
Rosenberg (‘83), Mary Schapiro, James S. [read post]
26 Sep 2011, 1:30 pm
SEC Chairman Mary Schapiro said at the time that the proposals are “intended to strengthen the integrity and improve the transparency of credit ratings. [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]
13 May 2011, 2:18 pm
Grassley (R-IA) recently released a letter to Mary Schapiro, the Chairman of the Securities and Exchange Commission (SEC) expressing his “serious concerns” with the Proposed Rules for implementing the whistleblower provisions of Dodd-Frank. [read post]
23 Jun 2007, 5:05 pm
NASDAQ CEO Mary Schapiro also suggested the possibility of some movement toward principles-based regulation, similar to LSE. [read post]
2 Jul 2010, 5:00 am
Schapiro. [read post]
13 Jul 2009, 11:14 am
The testimony follows on recent testimony by SEC Chairman Mary Schapiro on the same subject. [read post]
16 Jun 2022, 9:18 pm
Bush, and Mary Schapiro, who was appointed by Barack Obama, along with top legal experts like Leo Strine Jr., the former chief justice of Delaware’s Supreme Court, and Lucian Bebchuk, a corporate law professor at Harvard. [read post]
21 Aug 2012, 10:09 am
Schapiro, who advocated for the program. [read post]
