Search for: "MARY SCHAPIRO"
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13 Nov 2010, 3:29 pm
I am looking forward to listening to SEC Chair Mary Schapiro, who typically opens these events. [read post]
12 May 2008, 9:39 am
According to Mary Schapiro, FINRA CEO, "Event-linked securities are complex products that can lose their value if a triggering catastrophe occurs. [read post]
16 May 2012, 6:11 am
Testifying recently before a House Financial Services subcommittee, SEC Chairman Mary Schapiro stated that, because of capacity constraints, proposing a revised mandatory rule on shareholder access to company proxy materials is “not on the Commission’s immediate agenda. [read post]
29 Nov 2012, 10:30 pm
Securities and Exchange Commission (SEC) Chairman Mary Schapiro announced that she will step down next month. [read post]
SEC General Counsel Instructs Division of Enforcement to Stop Existing Record-Destruction Procedures
9 Sep 2011, 7:43 am
Iowa) asked SEC Chairman Mary Schapiro whether the Commission destroyed files relating to some of its more high-profile and controversial matters, such as its investigations of Bernie Madoff, Goldman Sachs, Bank of America, Lehman Brothers and others. [read post]
17 Apr 2009, 5:00 am
In the audience were a host of other illuminaries (Mary Schapiro attended at least part of the eulogy) and staff of the Commission The comments were thoughtful and accurate. [read post]
20 Jan 2009, 7:27 am
Among those stepping down from boards is incoming SEC Chair Mary Schapiro, who resigned last week from Duke Energy (DUK) and Steven Chu, who announced his plans to step down from Nvidia (NVDA). [read post]
19 Aug 2011, 3:15 pm
Senator Charles Grassley, an Iowa Republican, this week asked SEC Chairman Mary Schapiro to respond to Flynn’s claims by the end of this month. [read post]
28 Jun 2012, 11:30 pm
Securities and Exchange Commission (SEC) Chair Mary Schapiro testified that a 337-page draft for reform of the $2.7 trillion money-market fund industry is circulating and that the SEC is unable to make deadlines imposed by the JOBS Act. [read post]
17 Jul 2012, 6:00 am
SEC Chairman Mary Schapiro applauded the passing of the Rule, stating, “Today’s rule ultimately will lead to better protections for investors, and fairer, more orderly, and more efficient markets. [read post]
11 Aug 2009, 7:42 am
Here goes: SEC Says No More Messin’ Around: The WSJ’s Kara Scannell weighs in with a story on Tuesday that gives giving solid confirmation to what we’ve been suspecting for a few weeks now: that you ain’t gonna have the SEC to kick around anymore — at least if chief Mary Schapiro (pictured) has her way. [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]
29 Nov 2012, 10:30 pm
Securities and Exchange Commission (SEC) Chairman Mary Schapiro announced that she will step down next month. [read post]
7 Nov 2008, 11:53 am
Here's some rumor fodder from the Legal Times: - John Olson, Senior Partner, Gibson, Dunn & Crutcher - New Jersey Governor Jon Corzine - Mary Schapiro, FINRA CEO and Former SEC Commissioner and CFTC Chair - Former SEC Commissioner and General Counsel Harvey Goldschmid - MFS Investment Management Chair Robert Pozen 35% of Professionals Would Choose BlackBerry Over Spouse Dave sent me this ABA Journal article that reveals the awful truth about many of you… [read post]
12 Aug 2009, 5:13 am
The SEC and its new chairman, Mary Schapiro, purport to have a renewed sense of urgency for righting the wrongs of Wall Street. [read post]
29 Jun 2011, 1:54 pm
While SEC Chairman Mary Schapiro has indicated that she intends for the SEC to abide by the order, noted Chairman Garrett, the legislation would codify that Executive Order and require her and future SEC Chairs 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]
31 May 2011, 7:18 am
In contrast, SEC Chairman Mary Schapiro commented that the rules “are intended to the break the silence of those who see a wrong” and that the SEC found the proper balance between encouraging whistleblowers to report internally, but also gave them the option to contact the SEC directly. [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]
27 Nov 2012, 11:16 am
Schapiro. [read post]
3 Sep 2009, 7:02 am
SEC Chairman Mary Schapiro, appointed by President Barack Obama, has brought changes since taking the helm in January. [read post]
