Search for: "MARY SCHAPIRO"
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29 Aug 2012, 9:29 am
The SEC’s quiet period rules do not suffer from a constitutional defect under the US Supreme Court’s First Amendment test announced in a 2001 ruling, said SEC Chair Chair Mary Schapiro in response to a question from House Oversight Committee Chair Darrell Issa (R-CA) as part of a letter from the oversight chair containing a number of questions on the reform of the IPO regulatory regime. [read post]
29 Aug 2012, 8:18 am
SEC Chair Mary Schapiro hopes that the Commission will receive comment on this aspect of the proposal most particularly, as it is clear from the JOBS Act that taking reasonable steps to verify accredited investor status is part and parcel of permitting general solicitation. [read post]
29 Aug 2012, 4:50 am
Issa Related to this WSJ article, here's news from Cydney Posner of Cooley: The Wall Street Journal has posted SEC Chair Mary Schapiro's response letter to the inquiry from Darrell Issa, Chair of the House Committee on Oversight and Government Reform. [read post]
28 Aug 2012, 4:19 am
... [read post]
27 Aug 2012, 4:37 pm
Against the backdrop of emerging growth companies created by the JOBS Act, SEC Chair Mary Schapiro provided a detailed response to letters from House Oversight Committee Chair Darrell Issa (R-CA) on reform of the IPO regulatory regime. [read post]
27 Aug 2012, 7:46 am
Attached is a letter (posted by the Wall Street Journal) that SEC Chairman, Mary Schapiro, sent to Rep. [read post]
27 Aug 2012, 7:12 am
Patrick McHenry's August 16 letter to SEC Chair Mary Schapiro about the delay in getting a rule implemented to lift the general solicitation ban for offerings under Rule 506 of Reg D. [read post]
27 Aug 2012, 5:00 am
As reported in the Wall Street Journal “Desperate to keep the company afloat, Knight Capital CEO Thomas Joyce spoke with SEC Chairman Mary Schapiro Wednesday about having its erroneous trades cancelled. [read post]
24 Aug 2012, 1:12 pm
Aguilar yesterday responded to Chairman Mary L. [read post]
24 Aug 2012, 7:04 am
Aguilar yesterday responded to Chairman Mary L. [read post]
24 Aug 2012, 6:52 am
Money Market Fund Reforms Hit Roadblock by Joe Mont in Compliance Week‘s The Filing Cabinet Overruled by three of her commissioners, Securities and Exchange Commission Chair Mary Schapiro has been rebuffed in her two-and-half-year effort to reform money market funds. [read post]
23 Aug 2012, 9:30 pm
The chair of the Securities and Exchange Commission (SEC), Mary Schapiro, called off a highly anticipated vote on proposed money market reforms after three commissioners declared their opposition. [read post]
23 Aug 2012, 1:41 pm
SEC Chairman Mary L. [read post]
23 Aug 2012, 11:51 am
The SEC, through its Chairwoman Mary L. [read post]
22 Aug 2012, 3:53 pm
” SEC Chairman Mary L. [read post]
22 Aug 2012, 6:01 am
Schapiro, who advocated for the program. [read post]
21 Aug 2012, 10:09 am
Schapiro, who advocated for the program. [read post]
20 Aug 2012, 10:07 pm
Securities Law SEC Further Delays Ruling on Title II of JOBS Act The SEC Chairman Mary Schapiro has informed members of Congress that the SEC will delay implementing rules that would give effect to Title II of the JOBS Act, which will remove the general solicitiation ban of securities offered under Rule 506. [read post]
20 Aug 2012, 4:37 pm
In a letter to SEC Chair Mary Schapiro, Rep. [read post]
20 Aug 2012, 12:44 pm
” I’m all for, as an example, evolving from Chairman to Chairperson (although fascinating that SEC Chairman Mary Schapiro opted for the male version of the word). [read post]
