Mary Jo White

News & Analysis as of

SEC Enforcement: 2016 in Review and Looking Ahead to 2017

Enforcement activity increased again in fiscal year 2016, and the U.S. Securities and Exchange Commission (“SEC”) continued to pursue a broad agenda. Consistent with former Chair Mary Jo White’s “broken windows” enforcement...more

The Financial Report, Volume 6, Number 2

Discussion and Analysis - Last week, Mary Jo White delivered her “farewell address” to The Economic Club of New York upon the completion of her term as the 31st Chair of the Securities and Exchange Commission. Her...more

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

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

SEC Chair Urges Continued Efforts on Global Accounting Standards

Outgoing Securities and Exchange Commission (SEC) Chair Mary Jo White has urged her successor and the SEC to continue to pursue high-quality, globally accepted accounting standards “as one of its highest priorities.” In a...more

SEC Chair White to Republican Senators: fuggedaboudit

Ok, she was actually much more polite than that. You might recall that, in November after the election, House Republicans sent a letter to federal agencies requesting that they not engage in any “midnight” rulemaking —...more

The Financial Report, Volume 5, Number 22 - December 2016

Discussion and Analysis - Whenever a pendulum swings too far in one direction, it is inevitable that it will swing back in the opposite direction. Some simply refer to this as a “reversion to the mean.” Tuesday’s...more

SEC Chair White Refuses To Delay New Rules

According to Fortune, outgoing Securities and Exchange Commission Chair Mary Jo White is refusing to delay adoption of new rules and regulations. Senate Republicans–in particular the Senate Banking Committee’s top two...more

More Departures Announced by Top SEC Officials

Following up on our earlier report that Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration, news of other departures within the SEC has begun to spread. ...more

US Securities Exchange Commission Chair Mary Jo White Announces Departure at End of Obama Administration

SEC Chair Mary Jo White announced that she will leave the SEC at the end of President Obama’s term...more

This Week In Securities Litigation

In a holiday shortened week, the SEC brought actions involving: a financial fraud naming against the president of the firm who, assisted by two other officers named as defendants in an earlier Commission enforcement action,...more

Bridging the Week - November 2016 #3

Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague - The US federal court handling...more

Financial Regulatory Developments Focus - November 2016

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more

This Week In Securities Litigation

SEC Chair Mary Jo White announced that she will step down when the new administration takes over. That will leave the Commission with two sitting Commissioners unless there are confirmation hearings during the lame duck...more

Chair Mary Jo White to Step Down as SEC Commissioner at End of President Obama’s Term

On Tuesday, November 15, 2016, the Securities and Exchange Commission (SEC) announced that Chair Mary Jo White will resign as SEC Commissioner effective January 20, 2017, concurrently with the end of President Obama’s term of...more

SEC Chair to Step Down: Path Cleared for Deregulation

The latest post-election domino has fallen. Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration. White announced her departure on Monday, paving the way...more

Blog: SEC Chair White Announces Plan To Resign

The SEC has announced that Chair Mary Jo White intends to resign at the end of President Obama’s term. One of the longest serving chairs, she has served for almost four years. In addition to a long list of accomplishments,...more

SEC Proposes Rules to Require Universal Proxy Cards and other Changes

As SEC Chair Mary Jo White indicated in a June 2015 speech at the Society of Corporate Secretaries and Governance Professionals National Conference in Chicago, the SEC has now proposed new rules to modify the venerable proxy...more

The Financial Report, Volume 5, Number 20 - October 2016

With the general election now less than two weeks away, it is more apparent than ever that Americans often are sharply divided about how best to achieve certain goals, even if we agree on the goals we are trying to achieve....more

Blog: Should Non-GAAP Financial Measures Be Audited?

At a meeting yesterday of the PCAOB’s Investor Advisory Group, two working groups reported on topics that might be of particular interest: non-GAAP financial measures and enhanced audit reports. Non-GAAP Financial...more

Federal regulators propose joint rules to enhance banks’ cyber-risk management

Earlier this week, the Federal Reserve Board, the OCC, and the FDIC issued a joint advanced notice of proposed rulemaking outlining expectations and seeking public comment on enhanced cyber-risk management standards. This is...more

Blog: T+2?

At an open meeting this morning, the SEC voted to propose shortening the standard settlement cycle for most broker-dealer transactions from three business days after the trade date to two business days after the trade date,...more

SEC Chair Mary Jo White – FCPA Enforcement Remains a Top Priority in the Increasingly Interconnected Global Marketplace

On September 21, 2016, Mary Jo White, Chair of the U.S. Securities and Exchange Commission (SEC) spoke at a Legal Practice Division Luncheon at the International Bar Association Annual Conference. She discussed the...more

Non-GAAP Disclosure Controls and Procedures

It seems that everyone is focused on non-GAAP financial measures these days, including the SEC. As has been exhaustively reported, SEC Chair Mary Jo White fired the first shot across public company bows back in December 2015,...more

Practice Pointers on Non-GAAP Financial Measures

On June 27, 2016, Securities and Exchange Commission (“SEC”) Chair Mary Jo White, speaking at the International Corporate Governance Network’s Annual Conference in San Francisco, reiterated the SEC’s growing concern regarding...more

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans; Division of Investment...

The U.S. Securities and Exchange Commission (SEC) on June 28, 2016, proposed new Rule 206(4)-4 (Proposed Rule) under the Investment Advisers Act of 1940 (Advisers Act). The Proposed Rule would require every SEC-registered...more

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