Search for: "MARY SCHAPIRO"
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3 Jun 2009, 1:42 pm
SEC Chairman Mary Schapiro today announced the formation of an Investor Advisory Committee to give investors a greater voice in the Commission's work. [read post]
2 Jun 2009, 2:15 am
The SEC's forecast for 2009: a sneak preview at the Schapiro CommissionBaker & McKenzie"In a recent address before the Council of Institutional Investors, SEC Commissioner Mary L. [read post]
28 May 2009, 6:17 am
Chairman Mary Schapiro and Director of Enforcement Robert Khuzami have focused on speeding up the process of conducting investigations and bringing cases. [read post]
23 May 2009, 10:11 pm
News release: "Securities and Exchange Commission Chairman Mary Schapiro outlined a series of measures the agency is taking to strengthen... [read post]
22 May 2009, 1:30 pm
Following the announcement that the federal prosecutor was looking into allegations that SEC attorneys may have engaged in impermissible insider trading, SEC Chairman Mary Schapiro outlined a series of measures the agency is taking to strengthen its internal compliance program... [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]
20 May 2009, 6:44 am
Less supportive is likely to be Arthur Levitt and other former SEC officials, although it does not appear that current SEC Chair Mary Schapiro has spoken publicly on the coming proposals. [read post]
15 May 2009, 11:27 am
The criminal investigation, which was disclosed to SEC Chairman Mary Schapiro in a March 3 memo, came about after SEC Inspector General H. [read post]
15 May 2009, 5:00 am
According to the press release and the speech by Mary Schapiro here is a summary of the proposed rules: All registered investment advisers with custody of client assets will undergo an annual "surprise exam" by an independent public accountant to verify those assets exist. [read post]
13 May 2009, 4:01 pm
Mary Schapiro made the case yesterday for the continued independence of the SEC:I must underscore that independence is an essential attribute of a capital markets regulator that protects investors. [read post]
8 May 2009, 9:11 am
Recently, SEC Chairman Mary Schapiro addressed the Mutual Fund Directors Forum Ninth Annual Policy Conference. [read post]
7 May 2009, 2:17 pm
Give the Securities and Exchange Commission and its new chairman, Mary Schapiro, credit where it is due. [read post]
7 May 2009, 7:28 am
Schapiro: None.Weidner's right about the SEC's failings and the perceived inevitability of reform a few months ago, but he is wrong in asserting that the window for reform is closing. [read post]
7 May 2009, 1:52 am
Chuck Grassley on May 5, 200905/06/2009
Legislative Text of a Manager's Amendment to the Mortgage Reform and Anti-Predatory Lending Act, H.R. 1728 (PDF 1.0 MB)Text of the Amendment as Expected to be Offered on the House Floor by Financial Services Chairman Barney Frank on May 7, 200905/06/2009
Legislative Text of a Resolution to Constitute the Majority Party's Membership on Certain Committees for the 111th Congress (S.Res. 130)Text of the Resolution as Passed by the… [read post]
6 May 2009, 1:47 pm
"The fund's managers turned a blind eye to investors and the reality of the situation at hand before the fund broke the buck last September," said SEC Chairman Mary Schapiro in a statement. [read post]
6 May 2009, 7:41 am
And, there was the departure of Enforcement Head Linda Chatman Thomsen within weeks of Mary Schapiro’s appointment as Chair of the SEC. [read post]
6 May 2009, 5:49 am
The Securities and Exchange Commission, which has taken a lot of public-relations blows over the past few months, came out swinging on Tuesday, signaling that its new head, Mary Schapiro, isn’t afraid to file high-profile lawsuits or venture into unchartered waters. [read post]
5 May 2009, 11:59 am
Here are Chairman Mary L. [read post]
5 May 2009, 4:00 am
In a speech last week, Mary Schapiro said that the SEC "hasn't come to a resolution on the new technology. [read post]
5 May 2009, 4:00 am
In a speech last week, Mary Schapiro said that the SEC "hasn't come to a resolution on the new technology. [read post]
