Search for: "MARY SCHAPIRO"
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16 May 2008, 9:36 am
FINRA CEO Mary L. [read post]
25 May 2011, 1:30 pm
However, a recent letter by the SEC Commissioner, Mary Schapiro, suggests that the SEC is considering a new exemption from the SEC regulations which could allow businesses access to a new “crowd” of investors. [read post]
13 Oct 2011, 7:22 am
SEC Chairman Mary Schapiro lauded the registration requirement as “a critical step toward better protecting investors. [read post]
17 Sep 2009, 2:30 am
Hu will report to Chairman Mary Schapiro.... [read post]
SEC and CFTC Receive Funding Increase in House Resolution to Help Them Carry Out Dodd-Frank Mandates
9 Dec 2010, 8:39 am
In testimony earlier this year before the Senate Appropriations Committee, SEC Chair Mary Schapiro said that, if enacted, this request would permit the Commission to hire an additional 374 professionals, a 10 percent increase over FY 2010. [read post]
30 Oct 2012, 6:11 am
Rosenberg (‘83), Mary Schapiro, Anne Sheehan, Larry Sonsini, Adair Turner, Elisse B. [read post]
11 Jun 2009, 2:09 am
Dick Durbin on June 9, 2009
06/10/2009
Report: Employer Costs for Employee Compensation (PDF 108 KB)Prepared by the Bureau of Labor Statistics06/10/2009
Report: Semiannual Report to Congress (PDF 4.6 MB)Prepared by the Inspector General of the Department of Defense 06/10/2009
Report: Telecommunications: Broadband Deployment Plan Should Include Performance Goals and Measures to Guide Federal Investment (PDF 692 KB)GAO Report to the House Energy and Commerce… [read post]
8 Jul 2011, 5:00 am
That’s where the SEC’s Chairman, Mary Schapiro, and its Inspector General, H. [read post]
22 Nov 2012, 11:32 am
In other SEC news, David Weber, one of its ex-Office of Inspector General officials, is suing the agency and Chairman Mary Schapiro for allegedly getting back at him for disclosing misconduct that had been taking place at the Commission. [read post]
16 Jan 2013, 7:19 am
” This is not surprising since, according to a 2010 survey by The Schapiro Group, 83 percent of Kentuckians support anti-discrimination Fairness protections. [read post]
3 Jun 2016, 7:32 am
Cohen served as a senior advisor to former SEC Chairman Mary Schapiro and advised her on legal, policy and administrative matters focusing mostly on enforcement and compliance issues, legislative matters, Congressional hearings, and coordination with other government agencies. [read post]
31 Oct 2012, 1:37 pm
For example, SEC Chairman Mary Schapiro has been pushing for the additional reforms because she believes the money market mutual fund industry continues to be a threat to the financial system. [read post]
5 Oct 2019, 7:26 am
Mary McCord discussed how armed militia groups in the U.S. have embraced Trump’s tweet this week that warned of civil war. [read post]
10 May 2013, 11:07 am
This is simply codifying what then SEC Chair Mary Schapiro said that the Commission intended to do, he noted, adding that this is a minimal expectation from federal financial regulators.Ranking Member Maxine Waters (D-CA) opposes H.R. 1062 because it would add a number of additional factors to the cost-benefit analysis that the SEC would have to do and, among other things, impede the Commission’s implementation of the Dodd-Frank Act. [read post]
12 Jan 2012, 1:07 pm
The Board will increase staff to perform inspections of the audits of SEC-registered broker-dealers and to increase the number of international inspections in 2012.In opening remarks, SEC Chair Mary Schapiro referred to the unprecedented change that was brought about by the PCAOB’s oversight of the audit profession. [read post]
23 Jun 2011, 2:00 am
For example, the impact of regulations, including the 500 holder of record threshold in Section 12(g) of the Exchange Act, was recently put in the spotlight by correspondence between Congressman Darrell Issa (R-CA), Chairman of the House Committee on Oversight and Government Reform, and Mary Schapiro, Chairman of the SEC.[10] Subsequently, Chairman Schapiro also testified on May 10, 2011, before the U.S. [read post]
22 May 2009, 11:29 am
By a 3-2 margin, SEC Chair Mary Schapiro and the commission's two Democrats voted for the access proposal, which sets ownership requirements on a sliding scale of 1 to 5 percent, based on market capitalization. [read post]
9 Feb 2012, 3:34 pm
.), and Richard Blumenthal (D-Conn.) had even recently written to SEC chairwoman Mary L. [read post]
22 Dec 2011, 9:29 am
Not according to SEC Chairman Mary Schapiro. [read post]
18 Jul 2009, 5:00 am
Following this recommendation, Chairman Mary Schapiro announced that the SEC is contracting with an outside firm to develop a consolidated computer compliance system that will track, audit, and oversee employee securities transactions. [read post]
