Search for: "MARY SCHAPIRO"
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26 Apr 2010, 5:00 am
Likewise, Mary Schapiro, Chair of the Commission, was firm in her denial. [read post]
26 Feb 2010, 5:00 am
”[4] In an SEC press release, Chairman Mary Schapiro reiterated that the SEC has not taken a stance on the issue of global warming, and that this release is intended to assist public companies in satisfying their existing disclosure obligations as they apply to climate change. [read post]
15 Jul 2012, 9:16 am
SEC Chairman Mary Schapiro gave testimony before a House committee recently to provide updates on the implementation of the JOBS Act and the status of rulemaking that is required under the JOBS Act. [read post]
22 Jul 2011, 5:53 am
For example, 27 separate financial institution representatives were listed in attendance at an April 7, 2011, SIFMA-SEC meeting with Chairman Schapiro. [read post]
12 Mar 2009, 9:19 am
The scandal has cast scrutiny on the Securities and Exchange Commission, whose chief, Mary Schapiro, pledged to beef up staff and expedite enforcement cases. [read post]
9 Jun 2011, 4:06 am
Letter Seeks SEC Guidance on Cybersecurity Disclosure In a May 11th letter to SEC Chair Mary Schapiro, five Democrat members of the Senate Committee on Commerce, Science & Transportation asked the SEC to "issue guidance regarding disclosure of information security risk, including material network breaches. [read post]
15 Oct 2011, 6:02 am
Shortly thereafter, Congress heard testimony from Inspector General David Kotz, SEC Chairman Mary Schapiro and Mr. [read post]
12 Sep 2012, 11:19 am
The recent SEC enforcement steps also have taken place at the corporate finance division level, but presumably with the informal approval at least of SEC Chair Mary Schapiro. [read post]
15 Oct 2011, 6:02 am
Shortly thereafter, Congress heard testimony from Inspector General David Kotz, SEC Chairman Mary Schapiro and Mr. [read post]
25 May 2010, 11:34 pm
As I said in my last open letter to Chairperson Mary Schapiro, "The SEC has an excellent chance on its second investigation of Overstock.com to regain that lost public confidence by bringing a successful enforcement action against Overstock.com, its Audit Committee, and its management team for securities law violations, including Rule 10b-5. [read post]
8 Jul 2011, 11:00 am
On last year’s cover, SEC Chairman Mary Schapiro appeared in the center spot where Greenspan had posed. [read post]
9 Oct 2011, 10:07 am
Since 2009, a Monitoring Board made up of 5 securities regulators, including SEC Chair Mary Schapiro, has provided a public accountability mechanism. [read post]
3 Aug 2012, 10:11 pm
In a statement, the chairwoman of the Securities and Exchange Commission, Mary L. [read post]
7 Nov 2008, 5:35 pm
Other potential candidates who have been mentioned in press reports include current Commissioner Elisse Walter; New Jersey Governor Jon Corzine; New York Attorney General Andrew Cuomo; Damon Silvers of the AFL-CIO; John Olson, a partner with Gibson, Dunn & Crutcher; Mary Schapiro, a former SEC commissioner who is CEO of the Financial Industry Regulatory Authority; and Robert Pozen of MFS Investment Management. [read post]
23 Feb 2009, 8:21 am
Pay vote advocates expect that the SEC--under the leadership of new chair Mary Schapiro, who has endorsed the concept--will have final rules in place before the 2010 proxy season. [read post]
10 Nov 2009, 6:16 am
In public statements, Mary Schapiro, Chairman of the SEC, expressed concern about creating broad carve-outs or exceptions from the proposed registration requirement for investment advisers to private funds. [read post]
24 Aug 2011, 2:25 pm
It is well-settled 'that a court is not to substitute its judgment for that of the agency,' " Jeff Mahoney, CII's general counsel, wrote in an Aug. 19 letter to SEC Chairman Mary Schapiro. [read post]
5 Jun 2009, 2:13 am
Indeed, according to a June 4, 2009 Washington Post article (here), new SEC Chairman Mary Schapiro has specifically said that as part of her plan to try to rebuild the SEC’s tarnished reputation, she intends to step up enforcement efforts and to push cases related to the financial crisis. [read post]
7 Mar 2010, 7:58 am
Chairman Mary Schapiro also observed that the Commission is not taking a position on any facts relating to climate change or global warming. [read post]
10 May 2011, 9:10 am
In her opening remarks, SEC Chairman Mary Schapiro said that the proposal would provide guidance to market participants and clarify, through “clear and objective criteria,” whether a product was a swap under the CFTC’s purview, a security-based swap under the SEC’s purview, or a mixed swap under the jurisdiction of both agencies. [read post]
