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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]
26 Mar 2007, 1:10 pm
The problem is "there's no transparency -- you're reliant on your broker to shop your policy around," says Mary Schapiro, chairman of the National Association of Securities Dealers, which published an "Investor Alert" on life settlements last month (available at nasd.com). [read post]
19 Nov 2012, 4:48 pm
Here are some key takeaway points: The FSB may have provided some more ammunition to the FSOC and SEC Chair Mary Schapiro when it recommended converting fixed NAV money market funds to floating “where workable. [read post]
28 Oct 2011, 3:20 pm
According to her biography on the SEC website, SEC Chairman Mary L. [read post]
1 Apr 2011, 10:43 am
It is completely understandable that some people -- actually quite a few people, I believe -- think that Mary Schapiro, on whose watch this position was taken, should be dismissed. [read post]
11 Jul 2011, 7:43 am
With that kind of growth, among other factors, you can imagine why Mary Schapiro wants a budget increase. [read post]
10 Aug 2010, 12:33 pm
Mary Schapiro has committed to having proxy access rules in place for the 2011 proxy season. [read post]
22 Jul 2011, 5:47 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]
24 Aug 2019, 6:26 am
Mary Schapiro, the now retired Securities and Exchange Commission Chair, described the Financial Crisis of 2008 as “[leading] many investors to raise serious concerns about the accountability and responsiveness of some companies and boards of directors to the interests of shareholders, and has resulted in a loss of investor confidence. [read post]
15 May 2012, 9:14 am
On Tuesday, April 17, 2012, SEC Chairman Mary Schapiro testified before the House Subcommittee on TARP, Financial Services and Bailouts about the steps the SEC has taken and is taking to strengthen our economic analyses in the rulemaking process. [read post]
15 Mar 2012, 9:53 am
As discussed here, SEC Chairman Mary Schapiro was one those who made the trip to the Hill, appearing before the House Subcommittee on Financial Services and General Government on March 6, 2012 in support of the Administration's budget request for the SEC for the 2013 fiscal year. [read post]
6 Jun 2011, 12:00 pm
Note to readers: Over the last four weeks, I sent several letters to Mary Schapiro, Chairman of Securities and Exchange Commission detailing, what I believe, are Regulation FD violations and questionable financial reporting by Green Mountain Coffee Roasters (NASDAQ: GMCR). [read post]
29 Dec 2011, 10:27 am
Chairman Mary Schapiro stated that she "remain[ed] committed to finding a way to make it easier for shareholders to nominate candidates to corporate boards," but also noted that "I want to be sure that we carefully consider and learn from the Court's objections as we determine the best path forward. [read post]
16 Jun 2022, 9:05 pm
[Editor’s Note: This post is based on a comment letter submitted to the U.S. [read post]
23 Feb 2009, 1:47 am
According to a February 20, 2009 Washington Post article entitled "SEC to Examine Boards’ Role in Financial Crisis" (here), one of new SEC Chairman Mary Schapiro’s "first tasks" will be looking into "whether the boards of banks and other financial institutions conducted effective oversight leading up to the financial crisis," as part of an SEC effort to "intensify scrutiny at the top… [read post]
3 Jan 2013, 11:11 am
In addition, then-SEC Chairman Mary Schapiro and then-Director of the Division of Corporation Finance Meredith Cross have noted in various speeches that the SEC was considering guidance on the issue. [read post]
10 Nov 2009, 11:00 am
SEC Chair Mary Schapiro has already signaled her support for self-funding. [read post]
2 Nov 2023, 9:01 pm
It was then, working with then-Treasury Secretary-Designee Timothy Geithner and SEC Chair-Designee Mary Schapiro, that we first considered recommending to the incoming president and to Congress broad reforms of the swaps markets, including the security-based swap market. [read post]
12 Aug 2012, 7:55 pm
Thus, the SEC, which openly expressed its opposition to crowdfunding prior to the passage of the JOBS Act (including criticism by SEC Chairwoman Mary Schapiro that crowdfunding regulation would be akin to "walking backwards"), will most likely implement burdensome compliance and disclosure requirements.3 Why is this good news for franchises? [read post]
25 Jul 2012, 10:00 am
In recent weeks, the SEC has given notice of matters that SEC Commissioners will consider at an open meeting on August 22, 2012, including: general solicitation rulemaking required by Title II of the JOBS Act disclosure and reporting rules for conflict minerals and resource extraction issuers that are required under the Dodd-Frank Wall Street Reform and Consumer Protection Act SEC Chairman Mary Schapiro also recently testified before a House Oversight and Government… [read post]
