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23 Jun 2012, 2:50 pm
In a June 19, 2012 letter to Mary Schapiro chairman of the SEC, Rep Darrell Issa chairman of the Committee on Oversight and Government Reform, expressed concern that under existing securities laws: “underwriters have discretion to determine the price of an IPO, while subject to conflicts of interest stemming from economic relationships with those institutional clients that ultimately will purchase the bulk of an issuance. [read post]
20 Mar 2012, 4:45 am
SEC Chairman Mary Schapiro, Elisse Walter and Daniel Gallagher recused themselves for unexplained reason. [read post]
20 Apr 2012, 6:36 am
The piece is actually pretty complimentary about the recent work of Mary Schapiro’s SEC. [read post]
4 Jul 2011, 8:17 pm
According to SEC Chairwoman Mary L. [read post]
17 Feb 2011, 8:27 am
In President Obama’s proposed 2012 budget, funding for the SEC and the CFTC actually increase (an explanation is in this article); however, Roper said that user fees completely pay for the increase, which means the increase will have no impact on the federal deficit – a point that SEC Chairman Mary Schapiro confirmed on Feb. 14. [read post]
14 Jul 2011, 3:43 pm
SEC Chair Mary Schapiro said that the final regulations strike the correct balance between encouraging whistleblowers to pursue the route of internal compliance when appropriate, while providing them the option of heading directly to the SEC. [read post]
7 Nov 2011, 3:53 am
He had also informed SEC Chairman Mary Schapiro about the account. [read post]
7 Jun 2009, 9:04 am
Corporate Community Asks SEC for One-Year Extension for Small Companies to Comply with Sarbanes-Oxley 404 Internal Control Auditor AttestationIn a letter to SEC Chair Mary Schapiro, the Chamber of Commerce Center for Capital Markets Competitiveness urged the Commission to grant an additional one year extension for non-accelerated filers to comply with the auditor attestation provisions of Section 404 (b) of the Sarbanes-Oxley Act. [read post]
18 Aug 2010, 4:53 pm
In a letter to SEC Chair Mary Schapiro, the senators also urged the Commission to require companies to explicitly justify why they have not brought those liabilities onto the balance sheet. [read post]
4 Aug 2011, 5:10 pm
The SEC Modernization Act is designed to make the SEC more efficient, consolidate duplicative offices, enable the agency to use better technology, and strengthen ethical safeguards to avoid conflicts of interest.Chairman Bachus emphasized that the reform draft should not be interpreted as criticism of SEC Chair Mary Schapiro or any of her predecessors. [read post]
11 Apr 2012, 6:27 am
SEC Chairwoman Mary Schapiro has stated that 18 months is a more likely target for the SEC to promulgate regulations (which is where the action will be). [read post]
5 Feb 2010, 1:59 pm
During comments announcing the decision, SEC Chair Mary Schapiro emphasized that the Guidance is not meant create new law, and instead is aimed at providing consistency among corporate climate change disclosures, which have been marked by significant variability in scope and content, even among companies within the same industry. [read post]
27 Feb 2009, 5:00 am
In the letter written by Senator Dodd to Mary Schapiro, the Senator indicated that the certification applied to "compliance with executive compensation and corporate governance standards that have yet to be established by the Secretary of the Treasury. [read post]
15 Jun 2009, 11:58 am
SEC Chairman Mary Schapiro, Finra's former chief executive, hired a federal prosecutor to head the agency's enforcement office and launched an effort to improve how the agency processes complaints and tips. [read post]
9 Oct 2009, 5:58 am
Schapiro Deputy Chief of Staff Securities and Exchange Commission Jeffrey Gordon Alfred W. [read post]
15 Mar 2010, 12:54 pm
Mary Schapiro and Elisse Walter have spent most of their adult lives as securities regulators; Kathleen Casey worked as a staffer on Capitol Hill; and Troy Paredes was a corporate and securities law professor after working for a few years at BigLaw. [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 Oct 2010, 5:54 pm
The proposed regulation has a relatively short public comment period of 30 days.According to SEC Chair Mary Schapiro, the concern about conflicts of interest stems from the fact that the over-the-counter derivatives markets have a relatively high concentration of market activity through a limited number of dealers who earn significant revenues from their transactions. [read post]
27 Oct 2009, 12:53 pm
Since then, Mary Schapiro has taken office as commission chair, and Meredith Cross has become director of the Corporate Finance Division, which rules on corporate no-action requests to exclude shareholder proposals. [read post]
31 Oct 2012, 7:48 pm
The letter was signed by Federal Reserve Board Chairman Ben Bernanke, Securities and Exchange Commission Chairman Mary Schapiro, Comptroller of the Currency Thomas Curry, Federal Deposit Insurance Corp. [read post]
