Search for: "MARY SCHAPIRO"
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18 Aug 2010, 5:00 am
According to SEC Chair, Mary Schapiro, investors unwittingly paid a total of $13 billion of these "hidden" fees in 2007 and about $12 billion and $9.5 billion in 2008 and 2009 respectively. [read post]
16 Aug 2010, 12:25 pm
SEC Chair Mary Schapiro has consistently stated that enhancing and improving the agency's Enforcement Division was one of her priorities in restoring the SEC's reputation. [read post]
12 Aug 2010, 4:05 pm
Barney Frank, SEC Chair Mary Schapiro said that Section 929I is critical to the Commission’s ability to develop a robust examination program that better protects investors by allowing the SEC to gain timely access to information that it otherwise may not receive, thereby further enhancing its ability to identify fraud. [read post]
10 Aug 2010, 12:33 pm
Mary Schapiro has committed to having proxy access rules in place for the 2011 proxy season. [read post]
6 Aug 2010, 3:13 pm
In a letter to senior federal officials, consumer, investor and business groups, and auditing associations, SEC Chair Mary Schapiro asked for recommendations as she leads the search to identify qualified candidates for the Chair and two members of the PCAOB. [read post]
5 Aug 2010, 1:30 pm
With the recent approval of financial regulatory reform legislation in the United States, SEC Chairman Mary Schapiro provided an outline of next steps in a speech last week to the Center for Capital Markets Competitiveness in Washington D.C. [read post]
1 Aug 2010, 11:21 am
Barney Frank, SEC Chair Mary Schapiro said that Section 929I is critical to the Commission’s ability to develop a robust examination program that better protects investors by allowing the SEC to gain timely access to information that it otherwise may not receive, thereby further enhancing its ability to identify fraud. [read post]
30 Jul 2010, 12:17 pm
The staff report by the SEC's Life Settlements Task Force, which SEC Chairman Mary Schapiro established in August 2009, notes that the market for life settlements has grown over the past decade, raising questions about its regulation and oversight. [read post]
30 Jul 2010, 5:00 am
SEC Expects Massive Staff Increase Needed to Implement FinReg in Compliance Avenue SEC Chairman Mary Schapiro, during her Testimony Concerning Oversight of the U.S. [read post]
29 Jul 2010, 6:57 am
On Tuesday SEC Chairman Mary L. [read post]
27 Jul 2010, 3:22 pm
Accordingly, in 2008, the SEC proposed additional amendments to ADV Part 2, which they finally approved on July 21st.SEC Chairman Mary L. [read post]
23 Jul 2010, 12:05 pm
According to Chairwoman Mary Schapiro, the case against Goldman Sachs was just the tip of the S.E.C. [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]
22 Jul 2010, 11:00 am
According to SEC Chairman Mary Schapiro, the current form's check-the-box formal "frequently does not correspond well to an adviser's business. [read post]
22 Jul 2010, 7:14 am
After months of anticipation, fueled by frequent references to the project by SEC Chairman Mary Schapiro and senior staffers at the Division of Corporation Finance, on July 14, the Commission unanimously approved issuance of a concept release dealing with “proxy plumbing” issues. [read post]
22 Jul 2010, 6:33 am
Editor’s Note: Mary Schapiro is Chairman of the U.S. [read post]
21 Jul 2010, 5:09 pm
I did hear somewhere, however, that Mary Schapiro has already said she'll need another 500 employees at the SEC. [read post]
21 Jul 2010, 8:44 am
The SEC alone has been directed to complete 243 rulemakings, 95 one-time studies, and 17 periodic studies, according to the law firm of Davis Polk & Wardwell.SEC Chairman Mary Schapiro told House lawmakers this week that the commission may need to hire 800 new employees to implement the legislation. [read post]
21 Jul 2010, 7:12 am
SEC chair Mary Schapiro took her talents (to use LeBron's phrasing) over to Capitol Hill on Tuesday to testify to a congressional committee. [read post]
20 Jul 2010, 3:07 pm
The agency's chairwoman, Mary L. [read post]
