Search for: "MARY SCHAPIRO"
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25 Aug 2010, 7:00 am
“As a matter of fairness and accountability, long-term significant shareholders should have a means of nominating candidates to the boards of the companies that they own," SEC Chairman Mary Schapiro said at today’s open meeting. [read post]
28 Feb 2010, 6:29 am
”– SEC Chair Mary Schapiro, Proposed Rules on Proxy Access “During this recession, the leadership at some of the nation’s most renowned companies took too many risks and too much in salary, while their shareholders had too little say. [read post]
24 Oct 2011, 9:05 am
S.E.C. chairwoman, Mary L. [read post]
1 Apr 2009, 5:35 am
The importance of how broadly systemically important institutions are defined was also noted by SEC Chair Mary Schapiro in recent testimony before the Senate Banking Committee. [read post]
26 Mar 2012, 3:12 pm
Legislators in both parties and the President have adopted the JOBS Act as an election-year demonstration of their commitment to small businesses and entrepreneurialism, and they have paid little heed to strongly-worded opposition from SEC Chairman Mary Schapiro, state regulators and organizations ranging from the Council for Institutional Investors to the AARP. [read post]
16 May 2011, 9:47 am
" Tuesday, SEC Chairman Mary Schapiro, in testimony on Capitol Hill, told the House Oversight and Government Reform Committee that "fraudulent investment schemes disguised as investment opportunities" accounted for 22 percent of the agency's enforcement actions in 2010. [read post]
23 Nov 2022, 6:32 am
Schapiro and Elisse B. [read post]
15 Dec 2011, 7:40 am
In one such instance discussed here, in what appears to be a direct response to Judge Rakoff's ruling in Citigroup, SEC Chairman Mary Schapiro requested a series of statutory changes which would allow the Commission to impose stricter financial penalties for certain securities law violations, as well as greater penalties for recidivists in a letter dated November 28, 2011 to Senators Jack Reed and Larry Crapo. [read post]
15 Sep 2011, 8:44 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]
21 Jan 2009, 1:46 am
Its president is Mary Schapiro, who was an SEC Commissioner from 1988-1994, was head of the NASD until 2007, became head of FINRA when it was created in 2007, and is now slated to become head of the SEC. [read post]
2 Mar 2010, 1:34 pm
As described by SEC Chairman Mary Schapiro, sponsored access is like "giving your car keys to a friend who doesn't have a license and letting him drive unaccompanied. [read post]
23 Nov 2022, 6:32 am
Schapiro and Elisse B. [read post]
1 Jun 2010, 5:10 am
NY Congressman Anthony Weiner Updated at 7:22 PM Eastern Fraud Discovery Institute co-founder Barry Minkow released a 120 page open letter (including exhibits) to Securities and Exchange Commission Chairperson Mary Schapiro and Federal Trade Commission Chairman Jon Leibowitz, detailing a point by point rebuttal of every single allegation contained in New York Congressman Anthony Weiner's recent report alleging fraud, misrepresentation,… [read post]
3 Dec 2009, 7:08 am
However, Senator Charles Schumer has sent a letter to SEC Chairman Mary Schapiro requesting that the SEC review whether the general fair access threshold should be lowered. [read post]
1 Feb 2010, 6:36 am
In our 2009 “Mid-Year Review of SEC Enforcement,” we reviewed the transformation that had begun in 2009 at the SEC’s Division of Enforcement under the agency’s new Chairman, Mary Schapiro, and the Division’s new Director, Robert Khuzami, as well as the measurable increase in enforcement activity that had resulted. [read post]
21 Dec 2009, 12:22 pm
It seems to me that this mistake, as small and inconsequential as it was when looked at one way, is a sign that the SEC is still as incompetent-ridden as it was before Mary Schapiro. [read post]
2 Aug 2011, 1:05 am
McHenry, Chairman of the Committee on Oversight and Government Reform, SEC Chairman Mary L. [read post]
5 Apr 2010, 12:17 am
The SEC must get Patrick Byrne sober Updated at 9:42 PM Eastern To Mary Schapiro (Chairperson of the Securities and Exchange Commission): I respectfully recommend that the Securities and Exchange Commission bring an enforcement action against Overstock.com (NASDAQ: OSTK) for violations of securities laws and retaliation against its critics. [read post]
8 Mar 2012, 10:20 am
The House has passed by an overwhelming bi-partisan vote of 390-23 legislation creating an on ramp for companies to go public, authorizing crowdfunding, reforming Regulations D and A, and raising the 500-shareholder threshold for private companies and community banks. [read post]
26 May 2012, 12:06 am
Below is an article that I wrote for Business Law Today, a publication for the American Bar Association’s Business Law Section. [read post]
