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13 Jan 2012, 8:42 am
Heading into 2012, regulators will have some catching up to do, though many regulators, namely Securities and Exchange Commission (SEC) Chair Mary Schapiro and Commodity Futures Trading Commission Chair Gary Gensler, have repeatedly emphasized that they are more focused on “getting the rules right” than they are on meeting deadlines. [read post]
24 Feb 2016, 5:00 am
SASB director and former SEC Chair Mary Schapiro is identified on the Task Force website as Secretariat and Special Advisor to the Chair. [read post]
22 May 2012, 6:42 pm
Read the Letter by Merkley and Levin Volcker Rule Resource Center, SIFMA More Blog Posts: JPMorgan Chase Had No Treasurer When Chief Investment Office Made Trades Resulting In More than $2B Loss, Reports WSJ, Institutional Investor Securities Blog, May 19, 2012 JPMorgan Chase Shareholders File Securities Lawsuits Over $2B Trading Loss, Institutional Investor Securities Blog, May 17, 2012 SEC Chairman Mary Schapiro Stands By Agency’s 2011 Enforcement… [read post]
16 Jun 2011, 2:38 pm
The older trades "would not appear to trigger any concerns regarding ongoing investigations," he said in a letter to SEC Chairman Mary Schapiro on Wednesday. [read post]
22 Apr 2009, 1:32 pm
SEC chairman Mary Schapiro announced that the SEC will "continue this investigation (of the auditors) and hold accountable all those who helped facilitate this massive fraud. [read post]
5 Mar 2012, 3:02 pm
The group wrote a letter to SEC Chairman Mary Schapiro contending that forcing the nonprofit to pay back Stanford’s victims is not only a “misfit solution,” but also, it will establish an “unsustainable precedent. [read post]
7 Oct 2011, 9:04 pm
SEC Chairman Mary Schapiro has told staff that they need to recommend a proposal before the year is over. [read post]
23 Feb 2009, 9:28 am
Dodd Letter to SEC Details Effective Dates of Say on Pay and Compliance CertificationIn a letter to SEC Chair Mary Schapiro, Senate Banking Committee Chair Christopher Dodd explained the shareholder advisory vote provisions for TARP recipients in the American Recovery and Reinvestment Act of 2009. [read post]
25 Aug 2011, 2:23 pm
Mary Schapiro, chairman of the SEC commented that the new rules "build upon our efforts over the past two years and our experience with the Sarbanes-Oxley Act - an Act that made great strides in creating whistleblower protections and requiring the internal reporting systems at public companies. [read post]
DOJ Elects Not to Investigate SEC's Former General Counsel For Conflict of Interest in Madoff Matter
7 Nov 2011, 8:30 am
Becker, SEC Chairman Mary Schapiro and Inspector General David Kotz testified before a joint session of two Congressional Subcommittees about these events in September 2011 as previously discussed here. [read post]
12 Aug 2011, 8:22 am
SEC chairman Mary Schapiro’s view of this rule is that it “is designed to preserve investor confidence and promote market efficiency, recognizing short selling can potentially have both a beneficial and a harmful impact on the market. [read post]
19 Apr 2010, 2:12 pm
Elisse Walter and Luis Aguilar, both Democrats, joined SEC chair Mary Schapiro and voted in favor of the charges. [read post]
19 Jul 2012, 4:49 pm
Furthermore, by discouraging investors from redeeming shares in a troubled fund, the minimum balance at risk would help the fund avoid the need for fire sales of assets to raise cash, thereby reducing contagion risk throughout the system.Noting that SEC Chair Mary Schapiro has suggested money market fund reforms requiring either a floating NAV or a capital buffer, the NY Fed staff said that capital buffers have drawbacks. [read post]
26 Apr 2012, 3:25 pm
However, SEC Chairman Mary Schapiro was quick to point out to the House Oversight Subcommittee on TARP and Financial Services that many of the rules that are written already follow this guidance. [read post]
24 Feb 2010, 10:27 am
SEC Reaffirms Its Commitment to IFRSWhile noting that incorporating IFRS into the US financial reporting system would involve a significant undertaking, SEC Chair Mary Schapiro reaffirmed the Commission’s support for a single set of global accounting standards. [read post]
5 Jun 2012, 10:08 pm
SEC Chairman Mary Schapiro has said that the initiatives are the result of a lot of work done to come up with a sophisticated, effective, and doable way to take care of markets in the wake of too much volatility. [read post]
19 Sep 2011, 3:19 pm
Barney Frank to SEC Chairman Mary Schapiro, in which he said that if Congress intended the SEC to simply copy the Advisers Act and apply it to broker-dealers, it would have simply repealed the broker-dealer exemption, an approach Congress considered but rejected. [read post]
12 Jun 2009, 2:46 pm
To its credit, the administration’s proposals have the full support of both FED Chairman Ben Bernanke and SEC Chairman Mary Schapiro. [read post]
28 Jan 2011, 5:00 am
Had issuers supported the proposal by the Cox Commission, it is likely that Mary Schapiro's Commission would not have proposed an access rule, Dodd-Frank would not have given access authority to the Commission, and shareholders would not now be singularly focused on the issue. [read post]
10 May 2011, 8:47 am
Schapiro to The Honorable Darrell E. [read post]
