Search for: "MARY SCHAPIRO"
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15 Jul 2011, 2:43 pm
McCrudden has been charged with “transmission of threats to injure” after sending vicious threats to 47 current and former officials involved in financial regulation.The defendant allegedly sent menacing emails and published “execution lists” on his website, targeting prominent figures like the SEC’s Mary Schapiro and the CFTC’s Gary Gensler.McCrudden’s lawyer, Bruce A. [read post]
3 Feb 2014, 4:24 am
Meanwhile, former SEC Chair Mary Schapiro has changed her role at Promontory Financial Group so that she is no longer working as a consultant... [read post]
29 May 2011, 10:40 pm
SEC Chairman Mary Schapiro has said that the proposal would advance the goal of decreasing the “danger of fraud” in private offerings. [read post]
18 Feb 2011, 1:29 pm
Last month, I had the opportunity to visit with SEC Chairman Mary Schapiro, Director Khuzami, and SEC staff, and then separately with Commissioners Luis A. [read post]
8 Jul 2011, 2:00 am
1) Footnoted: SEC works to get rid of “The Lease to Nowhere” – This week, Mary Schapiro and SEC Inspector General David Kotz were on the hot seat in a Congressional hearing to discuss the infamous $556 million, 10-year lease that the SEC signed last summer for 900,000 square feet of space in DC. [read post]
6 Aug 2012, 10:32 am
He has also authored numerous whistleblower protection statutes, including the 1986 and 2009 amendments to the False Claims Act, the 2006 amendments to the Internal Revenue Service whistleblower program, and the Sarbanes-Oxley Act whistleblower protections.In a May 10, 2011 letter to SEC Chair Mary Schapiro, Senator Grassley noted that the SEC Dodd-Frank mandated whistleblower program is modeled after the IRS whistleblower program enacted into law in 2006. [read post]
27 Jul 2011, 4:47 am
Here's an excerpt from a Davis Polk alert: According to SEC Chairman Mary Schapiro, the SEC expects just about all issuers that currently rely on the existing test also to continue to qualify under the new criteria. [read post]
13 May 2009, 4:01 pm
Mary Schapiro made the case yesterday for the continued independence of the SEC:I must underscore that independence is an essential attribute of a capital markets regulator that protects investors. [read post]
21 Jul 2011, 10:06 am
Chair Mary Schapiro, Director of Enforcement Robert Khuzami, and other staff such as Steve Cohen, Jordan Thomas, and Sarit Klein put more than considerable thought and effort in refining the SEC whistleblower rules announced in May 2011. [read post]
4 Aug 2009, 7:54 am
Are Mary Schapiro and Sheila Bair now going to fall in line behind Geithner and Ben Bernanke? [read post]
3 Nov 2011, 6:58 am
Schapiro. [read post]
7 Sep 2011, 8:26 am
Jul. 22, 2011).In announcing the decision not to seek a rehearing, SEC Chairman Mary Schapiro said: I firmly believe that providing a meaningful opportunity for shareholders to exercise their right to nominate directors at their companies is in the best interest of investors and our markets. [read post]
13 May 2010, 9:00 am
Having said that, however, the new chair of the SEC (in this case Mary Schapiro) already had the authority to do so. [read post]
20 Apr 2012, 5:00 am
SEC Promises Better Rulemaking Efforts in Compliance Week Speaking at a hearing of the House Government Oversight Committee (which the committee had tartly titled, “SEC’s Aversion to Cost-Benefit Analysis”), SEC Chairman Mary Schapiro admitted that her office has heard an earful of criticism lately, including a stinging federal appeals court decision in 2011 that invalidated a rule for shareholder access to the proxy statement that specific cited poor cost-benefit… [read post]
9 Nov 2009, 9:38 pm
Related Web Resources: Schapiro: Settlements Need Watching AARP SEC [read post]
17 Jul 2010, 8:00 am
The Commission cannot have more than three persons of the same party but the Chair, Mary Schapiro is typically labeled an independent so that means when Casey resigns, there is room for a third Democrat. [read post]
16 May 2011, 5:00 am
Schapiro Image is Reaching for Blue Skies by Kelvin Tan CC BY 2.0 [read post]
1 Aug 2009, 10:55 am
Senator Schumer Urges SEC to Prohibit Flash OrdersIn a letter to SEC Chair Mary Schapiro, Senator Charles Schumer (D-NY) urged the Commission to ban the practice of flash trading that gives advance knowledge of stock orders to certain traders or he would consider introducing legislation to ban the practice in connection with optional pre-routing programs in order to ensure that trading in the capital markets is fair and transparent for all market participants. [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]
8 Dec 2010, 4:03 am
This article coincided with this speech by SEC Chair Mary Schapiro at the annual AICPA Conference in which she stated that the SEC is in the final stages of the selection process for all three openings. [read post]
