Search for: "MARY SCHAPIRO"
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3 Feb 2010, 12:19 pm
SEC Amends Money Market Fund RulesThe SEC has amended the rules for money market funds and SEC Chair Mary Schapiro said the new rules are only the beginning. [read post]
12 Apr 2009, 1:16 pm
Given recent comments by Mary Schapiro, the Chair of the U.S. [read post]
6 Nov 2009, 9:20 am
Against Backdrop of Pending Legislation, SEC Chair Pledges Adoption of Shareholder Access Early Next YearAgainst the backdrop of draft House legislation designed to provide authorization cover to the SEC's adoption of shareholder access rules, SEC Chair Mary Schapiro said that she would bring final shareholder access rules to the full Commission for consideration early in 2010. [read post]
20 Jul 2011, 6:25 am
SEC chairman Mary Schapiro said pressures caused by Dodd-Frank will “affect our ability to police Wall Street effectively,” she said, unless the SEC talks lawmakers into a substantial increase in the agency’s budget of $1.185 billion for the financial year starting in October. [read post]
2 Sep 2010, 4:28 am
Management said frontline lawyers, accountants and examiners are still recovering from a restructuring that started last year with the appointment of Chairwoman Mary Schapiro; the replacement of about a dozen senior managers; and a turnaround in culture. [read post]
23 Dec 2009, 9:25 am
"The Madoff Ponzi scheme and other frauds have caused investors to question whether their assets are safe when they entrust them to an investment adviser," said SEC Chairman Mary Schapiro. [read post]
22 Aug 2012, 3:53 pm
” SEC Chairman Mary L. [read post]
11 Jul 2011, 6:12 pm
Hanks says that comments made by lawmakers and SEC Chairman Mary Schapiro indicate congressional intent to loosen the requirements, as well as “regulatory momentum. [read post]
16 Apr 2012, 12:57 pm
Gallagher, SEC.gov, April 13, 2012 Dodd-Frank, SEC.gov (PDF) More Blog Posts: FINRA May Put Forward Another Proposal About Possible SEC Rule Regarding Fiduciary Duty, Institutional Investor Securities Blog, November 28, 2011 Don’t Create Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers, Say Some Republicans to the SEC, Institutional Investor Securities Blog, October 7, 2011 SEC Chairman Mary Schapiro Stands By Agency’s 2011 Enforcement Record,… [read post]
25 Jan 2011, 7:39 am
SEC Chairman Mary Schapiro said the two-year deferral was a "balanced and responsible way" to ensure that the rules do not unduly burden smaller reporting companies. [read post]
17 Mar 2009, 1:45 pm
There is no reason, said the senators, that short sellers should have 13 days to deliver shares when long sellers have only three days.On March 3, Senator Kaufman sent SEC Chair Mary Schapiro a letter asking the SEC to reinstate the uptick rule. [read post]
1 Aug 2012, 8:52 am
Schapiro in mid-2010 and led by SEC Commissioner Elisse B. [read post]
16 Jan 2009, 6:08 am
A few seem odd or high-risk — Dennis Blair as DNI, Hillary Clinton to State, Mary Schapiro to the SEC (huh?). [read post]
11 Jun 2009, 5:00 am
At the same time, Mary Schapiro announced proposals for stepped up disclosure requirements in connection with executive compensation. [read post]
10 Jun 2009, 1:23 pm
After meeting today with Securities and Exchange Commission Chair Mary Schapiro and Federal Reserve Governor Daniel Tarullo, Geithner emphasized that the administration would not seek to impose caps on compensation. [read post]
2 Dec 2011, 4:33 am
Three interesting pieces of Senate testimony yesterday: - Enforcement Director Rob Khuzami on applying insider trading laws to Congress - Corp Fin Director Meredith Cross/Deputy Lona Nallengara on spurring job growth through capital formation - Chair Mary Schapiro on implementing Dodd-Frank - before the Agriculture Committee of all things... [read post]
2 Aug 2009, 7:29 am
FDIC Chairman Sheila Bair criticized aspects of the proposal to appoint the Federal Reserve as systemic risk regulator, and SEC Chairman Mary Schapiro argued that a council of federal regulators, on which the SEC would have a seat, should have enhanced authority. [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]
21 Nov 2010, 1:00 pm
SEC Chair Mary Schapiro and Director of Enforcement Robert Khuzami seem dedicated to invigorating the SEC's enforcement efforts. [read post]
15 Feb 2011, 10:55 am
SEC Chair Mary Schapiro recently observed that “the technology for collecting data and surveilling our markets is often as much as two decades behind the technology currently used by those we regulate. [read post]
