Search for: "MARY SCHAPIRO"
Results 761 - 780
of 901
Sorted by Relevance
|
Sort by Date
13 Sep 2009, 4:31 am
Schapiro U.S. [read post]
22 Jun 2009, 6:59 am
SEC Chair Presents Plan for Regulation of OTC Derivatives to CongressAgainst the backdrop of the Obama Administration's call for federal regulation of the OTC derivatives markets, SEC Chair Mary Schapiro has asked Congress to pass legislation subjecting securities-related OTC derivatives to the federal securities laws and Commission regulation. [read post]
4 Jan 2012, 7:43 am
In her keynote speech, SEC Chairman Mary Schapiro highlighted her agency's efforts to improve engagement between shareholders and their investee companies. [read post]
22 May 2011, 12:44 pm
In a letter to SEC Chair Mary Schapiro, Senator Charles Grassley (R-Iowa) also noted that the proposed whistleblower regulations perpetuate an environment hostile to whistleblowers by failing to provide any guidance to prevent retaliation against employees who speak up. [read post]
23 Feb 2009, 4:49 am
" Under the new Chair's reign, it appears that Elisse will have more influence than a typical Commissioner due to her long-standing relationship with Mary Schapiro, as well as the fact that Elisse had spent considerable time working in high-level Staff positions at the SEC earlier in her career (including Corp Fin Deputy Director). [read post]
6 Apr 2018, 6:29 am
It was a difficult time for the Commission, Khuzami noted, observing that both he and then-Chair Mary Schapiro had been called before Congress multiple times to be harangued about the SEC’s failure to detect Madoff’s fraud. [read post]
25 Apr 2012, 10:52 pm
Key Leaders Agree an SRO Will Result in More Effective Oversight and Stronger Protection for Investors SEC Chairman Mary Schapiro: “I think self-regulatory organizations, with close oversight from the federal government – can bring tremendous value to the protection of investors. [read post]
19 Nov 2010, 9:30 pm
The Commission is proposing this approach because it could be difficult or impossible for advisers to conform existing funds, which generally have terms in excess of 10 years, to the new definition.According to SEC Chair Mary Schapiro, the proposed definition distinguishes venture capital funds from hedge funds and private equity funds by focusing on the lack of leverage of venture capital funds and the non-public, start-up nature of the companies in which they invest. [read post]
16 Aug 2011, 9:58 am
SEC Chair Mary Schapiro stated that: The staff is taking a fresh look at our rules to develop ideas for the Commission about ways to reduce the regulatory burdens on small business capital formation [read post]
10 Jun 2009, 10:32 am
"In a recent speech to the Council of Institutional Investors, the new SEC Chair, Mary Schapiro, hinted that the SEC is "considering whether boards should disclose to shareholders their reasons for choosing their particular leadership structure - whether that structure includes an independent chair, a non-independent chair, or a combined CEO/chair. [read post]
17 Jun 2011, 3:43 am
November 2nd's "The Say-on-Pay Workshop: 8th Annual Executive Compensation Conference" includes: - SEC Chair Mary Schapiro's Keynote (via pre-taped video) - Say-on-Pay Shareholder Engagement: The Investors Speak - Say-on-Pay: The Proxy Advisors Speak - How to Work with ISS & Glass Lewis: Navigating the Say-on-Pay Minefield - Putting Your Best Foot Forward: How to Ensure Your Pay Practices Pass - Say-on-Pay: Director (and HR Head) Perspectives -… [read post]
1 Feb 2011, 9:36 am
SEC Chairman Mary Schapiro said that the two-year deferral period is designed to assist the Commission in its consideration of these factors and will enable adjustment of the rule if appropriate before it applies to smaller issuers.The SEC amended Rule 14a-4, which relates to the form of proxy that companies are required to include with their proxy materials to require that issuers present four choices to their shareholders in connection with the advisory vote on frequency. [read post]
31 Oct 2011, 9:53 am
Iowa) of the Senate's Committee on the Judiciary asked SEC Chairman Mary Schapiro whether the Commission had destroyed files relating to some of its more high-profile and controversial matters, such as its investigations of Bernie Madoff, Goldman Sachs, Bank of America, Lehman Brothers and others. [read post]
5 Nov 2009, 5:08 am
Yesterday, SEC Chair Mary Schapiro delivered a speech at PLI's annual Securities Law Institute that summarized the current state of proposals that are Corp-Fin related, including identifying the areas that the SEC's upcoming concept release on proxy plumbing will address. [read post]
23 Apr 2010, 11:19 am
"It's appropriate to engage in a more thorough review of the use of derivatives by ETFs and mutual funds given the questions surrounding the risks associated with the derivative instruments underlying many funds," said SEC Chairman Mary Schapiro. [read post]
14 May 2008, 4:43 am
Keeling Center for Comparative Medicine and ResearchSTEVEN SCHAPIRO, Michale E. [read post]
10 Feb 2010, 8:01 am
According to SEC Chairman Mary Schapiro, "We are not opining on whether the world's climate is changing, at what pace it might be changing, or due to what causes. [read post]
22 May 2012, 6:30 am
At the same conference, Chairman Mary Schapiro told reporters that the Commission will address the petition “at some point. [read post]
7 Mar 2010, 8:57 pm
I guess it's fair to say that the votes are still out on the present incumbent chair, Mary Schapiro. [read post]
6 Sep 2010, 2:55 pm
Recently, the FDIC held a roundtable on the Title II liquidation authority.SEC Chair Mary Schapiro emphasized the need for a team approach to resolution, including the primary regulators, since these firms often have multiple subsidiaries and affiliates and multiple regulators. [read post]
