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You have executed a tag search on The Deal Pipeline. Below, you will find a comprehensive list of stories tagged "Mary Schapiro."
12 result(s) displayed (1 - 12 of 28)
The pressure to avoid the fiscal cliff will force the White House and Congress to break the policy logjam. Continue reading
Posted on November 9, 2012 4:08 PM
The new rules were prompted by the information shortfall that hindered the SEC's ability to trace the cause of the May 2010 flash crash. Continue reading
Posted on July 12, 2012 1:52 PM
The Securities and Exchange Commission struggles with rules for juxtaposing executive and rank-and-file compensation. Continue reading
Posted on June 15, 2012 12:40 PM
FINRA, the SEC, the Senate Banking panel and at least one attorney general are all examining the IPO. Continue reading
Posted on May 24, 2012 4:29 PM
Now that examination is being coordinated with enforcement, the SEC should reform the notice it gives to examined firms Continue reading
Posted on April 19, 2012 1:19 PM
The provision strengthens the SEC against third parties who enable securities violations. Continue reading
Posted on April 13, 2012 3:29 PM
The SEC chairwoman says the House version removes needed investor protections Continue reading
Posted on March 14, 2012 4:17 PM
The recommendation would double the number of allowed investors before an IPO. Continue reading
Posted on February 2, 2012 9:15 AM
Regulators continue to defend their proposal to implement the Volcker Rule's ban on proprietary trading by banks Continue reading
Posted on January 18, 2012 5:39 PM
The government's new Form PF is about to become an unwelcome ritual for investment fund advisers Continue reading
Posted on November 16, 2011 2:14 PM
With the kickoff of the new Dodd-Frank requirement, advisers are required to spell out information about the liquidity, counterparty exposure, type of investment and some other details of the funds they manage. Continue reading
Posted on November 11, 2011 12:30 PM
The House Financial Services Committee passed legislation Wednesday, Oct. 26, that would increase the number of shareholders most privately held companies may have without being required to register with the Securities and Exchange Commission to 1,000 from 500.For banks and... Continue reading
Posted on October 27, 2011 11:31 AM
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Goldman, Sachs & Co. veteran Tracy Caliendo will join Bank of America Merrill Lynch in September as a managing director and head of Americas equity hedge fund services. For other updates launch today's Movers & shakers slideshow.
When will companies stop refinancing and jump back into M&A? More video
