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12 Feb 2016, 6:03 am
Brownstein, Wachtell, Lipton, Rosen & Katz, on Wednesday, February 10, 2016 Tags: Foreign firms, Hostile takeover, International governance, Inversions, IRS, Leveraged acquisitions, Mergers & acquisitions, Private Equity, REITs, Securities Regulation, Shareholder activism, Spinoffs, Strategic buyers, Takeovers,Tax avoidance A Conversation with SEC Chair Mary Jo White Posted by Mary Jo White, U.S. [read post]
12 Feb 2016, 6:03 am
Brownstein, Wachtell, Lipton, Rosen & Katz, on Wednesday, February 10, 2016 Tags: Foreign firms, Hostile takeover, International governance, Inversions, IRS, Leveraged acquisitions, Mergers & acquisitions, Private Equity, REITs, Securities Regulation, Shareholder activism, Spinoffs, Strategic buyers, Takeovers,Tax avoidance A Conversation with SEC Chair Mary Jo White Posted by Mary Jo White, U.S. [read post]
9 Feb 2016, 11:11 am
”Andrew J. [read post]
31 Jan 2016, 1:43 pm
“These cases are the most recent in a series of strong SEC enforcement actions involving dark pools and other alternative trading systems,” said SEC Chair Mary Jo White. [read post]
28 Dec 2015, 8:18 am
“These reports demonstrate the SEC’s vigilant oversight of the credit rating industry,” said Chair Mary Jo White. [read post]
17 Nov 2015, 10:02 am
Two years ago, in a speech to the National Society of Compliance Professionals, available here, SEC Chair Mary Jo White discussed risks of securities laws violations faced by compliance professionals. [read post]
14 Nov 2015, 6:36 am
In late October, the Securities and Exchange Commission announced that under the leadership of chair Mary Jo White and enforcement director Andrew Ceresney, the SEC has continued to ramp up enforcement activity. [read post]
28 Oct 2015, 10:52 am
In fiscal year 2014, expanding upon what SEC Chair Mary Jo White called the SEC’s “enforcement footprint,” the SEC successfully pursued first-of-their-kind cases involving high frequency trading firms, whistleblower anti-retaliation authority, and broker-dealer policies and procedures. [read post]
13 Oct 2015, 1:37 pm
According to the SEC, between $40 billion to $50 billion of structure notes are registered with the SEC per year, with many of those notes sold to relatively unsophisticated retail investors.UBS, one of the largest issuers of structured notes in the world, agreed to settle the SEC’s charges that it misled U.S. investors in structured notes tied to the V10 Currency Index with Volatility Cap by falsely stating that the investment relied on a “transparent” and… [read post]
29 Sep 2015, 5:00 am
Opening Remarks by Chair Mary Jo White 9:30 a.m. [read post]
2 Sep 2015, 4:09 pm
XXXVI, Number 3. 2010, Jean-Marie Kamatali. [read post]
9 Aug 2015, 6:03 pm
In an important decision concerning D&O insurance coverage in connection with failed bank claims, the Tenth Circuit, applying Kansas law, held that a D&O policy’s insured vs. insured exclusion unambiguously precluded coverage for claims brought by the FDIC as receiver of a failed bank against the bank’s former directors and officers. [read post]
9 Jun 2015, 7:33 am
It is time for Andrew J.Ceresney, director of the SEC's Division of Enforcement, to admit that the abuse of the administrative law process is not "eminently proper, appropriate and fair," as he repeatedly claims, and for Mary Jo White, to stop this abuse.For more information visit Federal Judge Rules SEC In-House Judge’s Appointment ‘Likely Unconstitutional’. [read post]
3 Jun 2015, 5:31 pm
In it, Kevin Lacroix has an interesting piece on Elizabeth Warren taking some shots at SEC CHair Mary Jo White. [read post]
27 Apr 2015, 8:10 am
Among other things, SEC Chair Mary Jo White notes that adoption of Title III crowdfunding rules is a priority for 2015. [read post]
2 Apr 2015, 4:12 pm
The attention to the issue culminated in several SEC commissioners publicly expressing diverging views about the proper use of waivers, including in speeches by SEC Commissioners Daniel Gallagher, Kara Stein and Michael Piwowar and SEC Chair Mary Jo White. [read post]
2 Apr 2015, 5:53 am
Not a shining legacy.In 2015, we are told that much has changed at the SEC; that is is invigorated by Mary Jo White's leadership, by Enforcement Chief Andrew Ceresney's aggressive agenda, and by Commissioner Daniel Gallagher's bully pulpit. [read post]
23 Mar 2015, 6:32 am
At the 2015 SEC Speaks conference, when current and former agency staff members were asked by Chair Mary Jo White to stand, at least two thirds of the room took to their feet. [read post]
18 Mar 2015, 6:00 am
And the Commission itself is now led for the first time by a former federal prosecutor, Mary Jo White, the US Attorney for the Southern District of New York from 1993 to 2002. [read post]
2 Mar 2015, 4:00 am
@rbharringtonHemmings, Mary @maryhemmingsHenning, Coral @coralhHepler, Chrissy @chrissyheplerHeym, Robert @robertheymHolmes, Elizabeth @bethgholmesHood, Isabel @amusedmusingsHuddleston, Brian @bhuddleJenkins, Mary @jenkinsmJones, Caroline F. [read post]
