Search for: "MARY SCHAPIRO"
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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]
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]
26 Aug 2010, 8:05 am
In describing the need for the new rules, SEC Chairman Mary Schapiro stated that [a]s a matter of fairness and accountability, long-term significant shareholders should have a means of nominating candidates to the boards of the companies that they own...Nominating a director candidate is not the same as electing a candidate to the board. [read post]
12 Sep 2012, 12:49 pm
Meanwhile, Rule 144A, which provides an exemption for resales of certain restricted securities to qualified institutional buyers, would be amended to provide that securities sold pursuant to the rule may be offered to persons other than QIBs, provided that the securities are sold only to persons that the seller and any person acting on the seller's behalf reasonably believe are QIBs.According to the SEC Chairman Mary Schapiro, the proposed rules "fulfill… [read post]
2 Oct 2009, 10:15 am
The draft rule calls for a minimum holding period of one year, but SEC chair Mary Schapiro indicated last month that the commission may extend the required holding period, a change that labor investors and some companies have called for. [read post]
House Panel Approves Proxy Access ProvisionSubmitted by Ted Allen, Publications/Governance Institute
4 Nov 2009, 5:39 am
That measure, which was opposed by SEC chair Mary Schapiro and investor advocates, also directs the SEC and the Comptroller General to study how to reduce compliance burdens for companies with less than $250 million in market capitalization. [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]
3 Sep 2009, 11:09 am
" SEC Chairman Mary Schapiro released a statement which said the Madoff scandal was "a failure that we continue to regret" and listed a number of "post-Madoff reforms" the agency has undertaken "to reduce the chances that such frauds will occur or be undetected in the future. [read post]
18 Jun 2012, 10:33 am
SEC Chairman Mary Schapiro told the committee members that "you have made a commitment to ensuring that the voice of the investor remains front and center at the SEC," while Commissioner Luis Aguilar, an ardent backer of the Committee, told members that their "work will be vital to the SEC and the American public," asking them to focus on the needs of individual investors while noting that "only 15% of Americans trust the stock market. [read post]
24 Aug 2012, 6:52 am
Money Market Fund Reforms Hit Roadblock by Joe Mont in Compliance Week‘s The Filing Cabinet Overruled by three of her commissioners, Securities and Exchange Commission Chair Mary Schapiro has been rebuffed in her two-and-half-year effort to reform money market funds. [read post]
6 May 2009, 1:47 pm
"The fund's managers turned a blind eye to investors and the reality of the situation at hand before the fund broke the buck last September," said SEC Chairman Mary Schapiro in a statement. [read post]
6 Apr 2010, 6:30 am
According to Gibson Dunn’s John Olson, when SEC Commissioner Mary Schapiro began her job last year, “there was a feeling that the SEC was a failed agency. [read post]
5 Oct 2011, 1:45 pm
"We have communicated to Chairman [Mary] Schapiro our strong support for the re-establishment of the SEC's Investor Advisory Committee," said Jeff Mahoney, general counsel of the Council of Institutional Investors.In a letter to Schapiro in June, a representative of the Forum for Sustainable and Responsible Investment wrote: "It will send a troubling message if this new small business advisory group is created while reconstitution of the Investor… [read post]
3 Nov 2011, 9:21 am
Coordination, Consultation In her opening remarks, SEC Chairman Mary Schapiro said the new rule and Form PF—for “private funds”—was the result of consultations with FSOC and international regulators, and input from industry participants. [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]
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]
22 May 2012, 12:19 pm
SEC Chair Mary Schapiro said that the JP Morgan trading in question took place in a London-based bank and not in the broker-dealer supervised by the SEC. [read post]
6 Apr 2009, 4:31 am
Six US Senators Ask SEC to Adopt Regulations Ending Abusive Naked Short SellingSix US Senators have written a letter to SEC Chair Mary Schapiro urging the Commission to adopt and enforce regulations putting an end to naked short selling. [read post]
6 Dec 2011, 4:20 pm
SEC Chair Mary Schapiro testified that the SEC was tasked with writing a large number of new rules and conducting over twenty studies and reports. [read post]
2 May 2011, 10:46 am
.), sent a sharply worded letter to Chairman Mary Schapiro of the Securities and Exchange Commission (the “SEC”), in which he demanded that the SEC justify several of its rules regarding raising capital, including the “quiet period” that restricts a company’s communications ahead of an initial public offering (“IPO”) and the rules that limit the number of investors in private companies to 499. [read post]
