Search for: "MARY SCHAPIRO"
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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]
16 Oct 2012, 9:30 pm
In explaining the underlying problem, SEC Chair, Mary Schapiro explained that with the “inherent speed of trading,” a single technological failure “may cascade into other venues and affect many other parties. [read post]
7 Sep 2012, 6:38 am
Here is a round up of commentary on the proposed rule: Proposed Rule Regarding General Solicitation and Advertising by Mary L. [read post]
18 Mar 2013, 9:30 pm
The rulemaking process may be further delayed by personnel changes within the SEC, including the departure of former Chair, Mary Schapiro. [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]
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]
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]
23 May 2012, 2:05 pm
Chairman Mary Schapiro directed that the various tip lines be consolidated into a single database. [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]
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]
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]
4 Nov 2009, 2:52 pm
” Regarding new SEC Chairman Mary Schapiro: Madoff stated that Mary Shapiro (sic) was a "dear friend," and that she "probably thinks I wish I never knew this guy. [read post]
23 Jun 2009, 5:38 pm
Schapiro U.S. [read post]
16 Nov 2010, 6:06 pm
have more than quadrupled their political giving over the last four years. . . .Last January, Representative Cantor of Virginia, the second highest-ranking Republican in the House, sent [SEC Chair Mary] Schapiro a letter saying her agency’s ideas for regulating fragmented, electronic markets, including a proposal that would prohibit exchanges from giving high-frequency traders and other market participants a split-second peek at stock orders, “appeared ad hoc in nature. [read post]
13 Sep 2012, 7:07 am
Darrell Issa echoes the criticism of Chair Schapiro. [read post]
16 Nov 2010, 6:05 pm
The OFR is one of the few entities actually empowered to accomplish what Cantor is calling on Schapiro to do. [read post]
10 Nov 2020, 7:19 am
Jackson is an Independent and if he was selected as chairman he would continue a recent trend of Independents heading the SEC (Clayton from the Trump Administration, and Mary Jo White and Mary Schapiro from the Obama Administration).At least one media outlet has speculated that current SEC Chairman Jay Clayton, who recently sought the Trump Administration’s blessing to change to a different job nearer to his New York City home, could leave the SEC significantly… [read post]
30 Dec 2011, 7:27 am
Becker and SEC Chairman Mary Schapiro. [read post]
28 Jan 2010, 3:51 pm
Nothing that the Commission does today should be construed as weighing in on those topics," said SEC Chairman Mary Schapiro. [read post]
19 Jul 2009, 9:00 am
The term "personalized investment advice" was described by SEC Chair Mary Schapiro in a June 18, 2009 speech to define the circumstances under which a fiduciary duty should apply to both brokers and advisers. [read post]
