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Enforcement › The Jump-Start Our Business Start-Ups Act

Cooley LLP

Blog: In Her Final Speech As SEC Chair, White Identifies Current Trends Assailing SEC Independence

Cooley LLP on

Mary Jo White took the occasion of her final speech as SEC Chair, presented to the Economic Club of New York, to discuss how to maintain the role of the SEC as an effective financial regulator and how the SEC can “continue as...more

Morrison & Foerster LLP - JOBS Act

SEC Remarks at the Practising Law Institute’s Program Titled “SEC Speaks in 2015”

Morrison & Foerster LLP - JOBS Act on

On February 20, 2015, several representatives from the SEC spoke at the Practising Law Institute’s program titled “SEC Speaks in 2015,” including Chair Mary Jo White and Commissioner Louis A. Aguilar. Ms. White provided...more

Dorsey & Whitney LLP

Crowd-funding Site Named In SEC Proceeding

Dorsey & Whitney LLP on

Raising capital through crowd-funding is one of the key provisions of the JOBS Act. It is supposed to facilitate raising small amounts of capital for start-up operations. An off-shore crowd-funding site that sold unregistered...more

Stoel Rives LLP

In Case You Missed It - Interesting Items for Corporate Counsel

Stoel Rives LLP on

The SEC reminded everyone that, yes, it cares whether you timely file your Section 16 reports, by announcing enforcement actions against 28 Section 16 filers and six public companies here. Some tie the unprecedented...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Renewed Call for Investment Adviser User Fees - As we reported in previous editions of our Investment Management Newsletter, various persons have proposed that a user fee be imposed on SEC registered investment...more

Perkins Coie

The SEC Speaks In 2014: Enhanced Statutory Regime Combined With Data Analytics Tools Results In Enforcement 2.0

Perkins Coie on

The annual “SEC Speaks Conference,” where the U.S. Securities and Exchange Commission (SEC) and its senior staff review the major developments from the prior year, and preview the SEC’s enforcement priorities for the upcoming...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update -- October 2013

Morrison & Foerster LLP on

- Regulatory Updates: CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that are Commodity Pools; SEC’s Final Rules on General Solicitation and Bad Actor Disqualification for Investment...more

Allen Matkins

Does SEC Independence Mean A Lack Of Accountability?

Allen Matkins on

Earlier this week, Broc Romanek highlighted a recent panegyric on SEC independence given by SEC Chairwoman Mary Jo White. Independent agencies are the platypodes of the federal government. Many are inclined to view...more

Perkins Coie

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

Perkins Coie on

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

Holland & Knight LLP

JOBS Act Section 504 Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3)

Holland & Knight LLP on

On October 15, 2012, the staff of the SEC released its Report on Authority to Enforce Exchange Act Rule 12g5-1 and Subsection (b)(3), as required by Section 504 of the Jumpstart Our Business Startups Act (the "JOBS Act")....more

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