Search for: "MARY SCHAPIRO"
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17 Oct 2012, 1:56 pm
SEC chairwoman, Mary Schapiro, said, “these rules are intended to make the financial system safer, and the derivative markets fairer, more efficient, and more transparent. [read post]
26 Jul 2011, 5:00 pm
Schapiro. [read post]
1 Sep 2012, 8:25 am
Understanding the needs of investors is critical to carrying out the Commission's investor protection mission, said SEC Chairman Mary Schapiro, who added that the study provides important data and insights that will assist the Commission in its ongoing efforts to help retail investors make informed investing decisions. [read post]
21 Jun 2012, 7:58 am
" In a letter to SEC Chairman Mary Schapiro, Rep. [read post]
23 Apr 2009, 11:48 am
Securities and Exchange Commission chair Mary Schapiro acknowledged the need for ratings agency reform, telling attendees the firms' evaluation of securities backed by residential subprime loans, and the collateralized debt obligations linked to such securities, has "shaken investor confidence to its core. [read post]
15 Mar 2011, 10:21 am
" Chairman Mary Schapiro regrets this now. [read post]
24 Nov 2014, 3:15 am
A lot of big names in our field were involved including former SEC Chair Harvey Pitt on the advisory committee – and former Chair Mary Schapiro as one of the judges. [read post]
13 Mar 2012, 10:34 am
In a letter addressed to SEC Chairman Mary Schapiro, the lawmakers said that CEO pay has “skyrocketed,” while that for ordinary workers has “stagnated. [read post]
29 Jul 2012, 9:20 pm
” Stronger Enforcement of Civil Penalties Act Reed, Grassley Seek Tougher Penalties for Wall Street Fraud, Senator Jack Reed, July 23, 2012 More Blog Posts: Trading in Securities of 379 Microcap Companies Suspended in SEC’s Fraud Crackdown, Stockbroker Fraud Blog, May 14, 2012 SEC Chairman Mary Schapiro Stands By Agency’s 2011 Enforcement Record, Stockbroker Fraud Blog, March 15, 2012 Several Claims in Securities Fraud Lawsuit Against Ex-IndyMac Bancorp… [read post]
23 Apr 2012, 11:50 am
Wadhwa faced, as well as detailing how things have changed in recent years (particularly with the appointments of Mary Schapiro and Robert Khuzami). [read post]
23 Feb 2010, 1:14 pm
However, Chairman Mary Schapiro has directed the staff to conduct a comprehensive review of the mechanics by which proxies are voted and the way in which information is conveyed to shareholders, and to prepare a concept release to seek public comment on these issues.Timeline Changes for Other Soliciting PersonsWith regard to soliciting persons other than the issuer, the amended rules require the filing of a preliminary proxy statement within 10 calendar days after the issuer files… [read post]
7 Jan 2009, 9:00 am
Mary Schapiro, the incoming chair of the SEC, would no doubt be surprised to learn on page 17 that "he serves as Chairman 'at the pleasure of the President.'" She would likewise be surprised to hear that, in creating the PCAOB, Congress denied the Chairman "his traditional statutory authority to 'appoint and supervise'" members of the body. [read post]
29 Jan 2009, 5:15 am
With that in mind, we were pleased to see answers to questions posed by Senator Carl Levin given by the incoming Chairwoman, Mary Schapiro, on her opinion of access and say on pay. [read post]
19 Jul 2010, 2:37 pm
As SEC Chair Mary Schapiro said recently, "the SEC's job is not to define for the market what constitutes 'good' or 'bad' governance . . . . [read post]
14 Feb 2011, 12:37 pm
But what's truly astonishing here is that the government seems to be encouraging a megabank to engage in questionable surveillance and smear tactics, while itself lacking even basic modes of understanding what's going on in our "too big to fail" behemoths.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]
31 May 2012, 11:46 am
The two regulators have partially attributed this to the Dodd-Frank Wall Street Reform and Consumer Protection Act, which doesn’t authorize self-funding despite the fact that SEC Chairman Mary Schapiro, past SEC chairmen, certain senators, and securities lawyers had pressed for it. [read post]
2 Jul 2009, 9:16 am
" While noting the concerns raised by issuers and the commissioners who urged delay, SEC chair Mary Schapiro recalled that the rule was first drafted three years ago by a NYSE proxy working group with a "widely diverse" membership. [read post]
18 Nov 2010, 6:00 am
Schapiro now speaking. [read post]
18 Jul 2009, 7:31 am
Mary Schapiro was sworn in on January 27, 2009 as the twenty-ninth Chairman of the SEC. [read post]
20 Oct 2009, 3:27 pm
Securities and Exchange Commission's enforcement director, Khuzami, who was handpicked by SEC Chairman Mary Schapiro, has shaken the agency to its core with reforms designed to ensure it does not miss the next Bernard Madoff. [read post]
