Search for: "Mary Jo White, Chair, U.S. Securities and Exchange Commission,"
Results 101 - 120
of 150
Sorted by Relevance
|
Sort by Date
17 Jun 2014, 9:56 am
On June 5, SEC Chair Mary Jo White addressed the current equity marketplace, including high-frequency trading and dark pools. [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]
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]
22 Apr 2016, 10:29 am
The Securities Industry and Financial Markets Association, while broadly supporting the EMSAC’s overall efforts, also said in a statement that an access fee pilot should not include a trade-at provision.The maker-taker model was one of the five areas SEC Chair Mary Jo White identified for further review in her 2014 speech outlining her principles for market structure reform. [read post]
6 Jan 2017, 3:31 am
Securities and Exchange Commission. [read post]
10 Feb 2017, 6:00 am
Important questions went largely unanswered about the impact of the recent resignations of both SEC Chair Mary Jo White and Enforcement Director Andrew J. [read post]
25 Mar 2016, 6:00 am
Securities & Exchange Commission, on Tuesday, March 22, 2016 Tags: Accounting, Accounting standards, Audit committee, Audits, Disclosure, External auditors, Financial reporting,GAAP, Investor protection, PCAOB, Performance measures, SEC, Securities Regulation, SOX SEC Chair on PCAOB Oversight and 2016 Budget Approval Posted by Mary Jo White, U.S. [read post]
9 Feb 2016, 11:11 am
The Securities and Exchange Commission today announced that St. [read post]
21 Sep 2021, 6:13 am
Carl Levin wrote to then-SEC Chair Mary Jo White urging the Commission to prohibit PFOF, arguing that these payments create an incentive for brokers to maximize their own profits at the expense of best execution of customer orders.PFOF has come under more scrutiny lately following the GameStop-related market volatility earlier this year. [read post]
14 Dec 2016, 7:00 am
Securities and Exchange Commission (“SEC”) will be the appointment of a new SEC chair; SEC Chair Mary Jo White officially announced that she will resign in January 2017. [read post]
6 Dec 2013, 12:34 am
With the arrival of the new Chair of the SEC, Mary Jo White, the agency has undertaken a variety of new enforcement initiatives. [read post]
15 Jun 2015, 9:30 pm
As SEC Chair Mary Jo White has put it: “Ever-increasing amounts of disclosure make it difficult for an investor to wade through the volume of information she receives to ferret out the information that is most relevant. [read post]
27 Apr 2016, 9:03 am
CAT will enable regulators to harness today’s technology to enhance the regulation and oversight of today’s trading markets,” said SEC Chair Mary Jo White. [read post]
24 Dec 2021, 6:26 am
Securities and Exchange Commission, on Friday, December 17, 2021 Tags: Inside information, Insider trading, Misconduct, Rule 10b-5-1, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation Statement by Chair Gensler on Rule 10b5-1 and Insider Trading Posted by Gary Gensler, U.S. [read post]
7 Jul 2014, 6:27 am
Securities and Exchange Commission (SEC) wants to change how bond trading works, and Wall Street should take notice. [read post]
6 Jun 2021, 7:01 am
Former SEC Chair Mary Jo White has expressed concern about congressional pressure to expand the boundaries of securities regulation to nontraditional areas, such as environmental and social issues. [read post]
3 Feb 2017, 6:04 am
McIntosh, Wachtell, Lipton, Rosen & Katz, on Monday, January 30, 2017 Tags: Board composition, Board performance, Boards of Directors, Corporate culture, Corporate Social Responsibility, Director qualifications, Diversity, Institutional Investors, Shareholder activism, Shareholder proposals Former SEC Chair White Speaks at Securities Regulation Institute Posted by Mary Jo White, former Chair, 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]
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]
17 Nov 2016, 9:30 pm
Mary Jo White, the Chair of the U.S. [read post]
