Search for: "MARY SCHAPIRO"
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11 Sep 2009, 8:41 am
" SEC Chairman Mary Schapiro, commenting on the report, said, "His report makes clear that the agency missed numerous opportunities to discover the fraud. [read post]
12 Oct 2011, 6:57 am
Rosenberg (‘83), Mary Schapiro, James S. [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]
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]
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]
19 May 2010, 7:36 pm
Schapiro (who had some inspiring words on the economy and the profession of law). [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]
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]
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]
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]
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]
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]
13 Apr 2011, 6:30 am
Most notably those steps include: • A clear statement from SEC Chairman Mary Schapiro that companies need to make engagement a priority; • Guidance from the staff of the Division of Corporation Finance that meetings between corporate directors and shareholders are not prohibited by Regulation FD; and • A section in the SEC’s recent concept release on the U.S. proxy voting system dedicated to exploring ways to improve shareholder communications and participation… [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]
18 Dec 2008, 4:41 pm
While I'm multi-tasking, here are a few things I'm thinking about today:Maybe a Mary Schapiro can whip the Securities and Exchange Commission into shape. [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]
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]
9 Feb 2009, 3:25 am
On Friday, Chair Schapiro delivered this speech in which she describes some of her first steps in changing the Enforcement Division's policies & procedures, etc. [read post]
23 Sep 2009, 4:06 am
SEC Chair Outlines Efforts Promoting Sound Corporate Governance in Line with Global PrinciplesNoting that poor corporate governance contributed to the current financial crisis, SEC Chair Mary Schapiro detailed steps the Commission is taking to enhance transparency and accountability in the governance of public companies. [read post]
29 Aug 2012, 8:18 am
SEC Chair Mary Schapiro hopes that the Commission will receive comment on this aspect of the proposal most particularly, as it is clear from the JOBS Act that taking reasonable steps to verify accredited investor status is part and parcel of permitting general solicitation. [read post]
