Search for: "MARY SCHAPIRO"
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4 Sep 2009, 4:37 am
In a statement issued by SEC Chairman Mary L. [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]
3 Sep 2009, 7:02 am
SEC Chairman Mary Schapiro, appointed by President Barack Obama, has brought changes since taking the helm in January. [read post]
2 Sep 2009, 2:31 pm
Schapiro, held on September 2, 2009. [read post]
2 Sep 2009, 12:10 pm
A summary of the Report by the Inspector General of the SEC has been posted on the Commission's web site, a long with a comment by Chairman Mary Schapiro. [read post]
2 Sep 2009, 8:50 am
Chairman Mary Schapiro of the SEC recently sent an open letter to chief executive officers of broker-dealer firms. [read post]
1 Sep 2009, 11:11 am
SEC Chair Mary Schapiro released an open letter to the CEOs of broker-dealer firms warning that compensation arrangements could provide improper incentives for registered representatives to engage in abusive sales conduct and reminding them of the firms' supervisory responsibilities. [read post]
1 Sep 2009, 4:04 am
SEC Chairman Mary Schapiro issued an order yesterday to broker-dealer firms addressing concerns regarding the recruiting methods for broker-dealer registered representatives. [read post]
25 Aug 2009, 5:41 am
SEC Chairman Mary Schapiro said she hopes the joint meetings will help "increase transparency, reduce regulatory arbitrage and rebuild confidence in our markets. [read post]
21 Aug 2009, 3:20 pm
Mary Schapiro, Chairwoman SEC 63. [read post]
17 Aug 2009, 8:03 am
Just to be clear: the letter isn’t actually addressed to Warren Buffett or sent by Mary Schapiro, but instead is between CFO Marc Hamburg and Accounting Branch Chief Carlton Tartar. [read post]
12 Aug 2009, 5:13 am
The SEC and its new chairman, Mary Schapiro, purport to have a renewed sense of urgency for righting the wrongs of Wall Street. [read post]
11 Aug 2009, 7:42 am
Here goes: SEC Says No More Messin’ Around: The WSJ’s Kara Scannell weighs in with a story on Tuesday that gives giving solid confirmation to what we’ve been suspecting for a few weeks now: that you ain’t gonna have the SEC to kick around anymore — at least if chief Mary Schapiro (pictured) has her way. [read post]
8 Aug 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]
6 Aug 2009, 8:08 am
When President Obama appointed FINRA chief Mary Schapiro as the new Chairman of the Securities and Exchange Commission, the nation was promised an overhaul of the agency and of securities regulation in general. [read post]
4 Aug 2009, 9:52 pm
To Mary Schapiro (Chairperson of the Securities and Exchange Commission):The Securities and Exchange Commission must take immediate action to require Overstock.com (NASDAQ: OSTK) to properly restate all financial reports affected by its accounting errors and stop the company from issuing any more financial reports that violate Generally Accepted Accounting Principles (GAAP). [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]
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]
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]
24 Jul 2009, 5:36 am
Schapiro summarized the likely impact the proposed amendments would have by explaining that they would "help investors make more knowledgeable investment decisions about municipal securities, while at the same time enabling broker-dealers to satisfy their obligations. [read post]
