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6 Aug 2012, 4:20 am
" Robert Rapp of Calfee Halter responded: As one of the handful of NYSE "Designated Market Makers" (DMMs), Knight is a major market participant with the responsibility, among others, to conduct both physical and completely automated auctions for several hundred NYSE listed stocks assigned to it, and to maintain an orderly market in those stock. [read post]
16 Nov 2010, 6:06 pm
The OFR is one of the few entities actually empowered to accomplish what Cantor is calling on Schapiro to do.I can understand Cantor's idees-fixes here, and certainly Dodd-Frank as a whole may have some utterly perverse unintended consequences. [read post]
13 Sep 2012, 7:07 am
Robert Thompson, a law professor from Georgetown, echoes that. [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]
22 Jul 2011, 5:53 am
Morgan, Robert H. [read post]
28 May 2010, 7:16 am
Briefly: At Concurring Opinions, Robert Schapiro comments on the potential implications that the Court’s recent decision in United States v. [read post]
22 Jul 2011, 5:47 am
Morgan, Robert H. [read post]
5 Jan 2008, 7:56 am
Robert A. [read post]
15 Mar 2012, 9:53 am
The Stanford Ponzi Case On March 6, 2012, Robert Allen Stanford was convicted for his decades-long Ponzi scheme that bilked investors of over $7 billion. [read post]
27 Sep 2013, 12:27 pm
While some of the SEC’s enforcement program going forward will involve a continuation and reinforcement of efforts begun during the administration of former Chair Mary Schapiro and former Enforcement Director Robert Khuzami, much of it will entail new initiatives. [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]
3 Aug 2012, 10:11 pm
Schapiro, called the Wednesday episode unacceptable and said that her staff would “convene a round table in the coming weeks to discuss further steps that can be taken to address these critical issues. [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]
10 Mar 2008, 6:25 am
As Raz, Horwitz, Robert Schapiro, and others have noted, this means that the decisionmaker must adopt others' decisions that the decisionmaker thinks are incorrect on their merits, trusting in the superior expertise of the authoritative decisionmaker. [read post]
10 May 2011, 9:10 am
Robert Cook, director of the SEC’s Division of Trading and Markets, told the commissioners that the proposed definitions are “vital” because they would set out the scope of the products subject to regulation and to the antifraud provisions of the federal securities laws. [read post]
10 Nov 2020, 7:19 am
Lee also has suggested how the SEC could pursue regulations with a greater mix of prescriptive and principles-based requirements, an issue she debated in an extended colloquy with Republican Commissioner Hester Peirce at the end of the Commission’s open meeting to adopt further revisions to Regulation S-K in August 2020.Former Commissioner Robert Jackson, Jr. could be another potential candidate. [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]
3 Jan 2013, 11:11 am
Robert A.G. [read post]
6 Aug 2012, 7:34 am
” New York City Housing Authority board member Margarita Lopez isn’t impressed by Daily News coverage of the Housing Authority mess or by News reporter Rich Schapiro. [read post]
24 Oct 2011, 9:05 am
Schapiro, pushed for the elimination of flash orders back in late 2009. [read post]
