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Dodd-Frank Wall Street Reform and Consumer Protection Act Mary Jo White

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.    less -
WilmerHale

SEC Enforcement: 2016 in Review and Looking Ahead to 2017

WilmerHale on

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

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

Cooley LLP

SEC Chair White to Republican Senators: fuggedaboudit

Cooley LLP on

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

Akin Gump Strauss Hauer & Feld LLP

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

Cooley LLP

Blog: SEC Chair White Announces Plan To Resign

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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

Cooley LLP

Blog: T+2?

Cooley LLP on

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

WilmerHale

SEC Disclosure Initiative Encounters Resistance on Capitol Hill

WilmerHale on

Since 2013, the Securities and Exchange Commission, under the direction of Chair Mary Jo White, has undertaken a “Disclosure Effectiveness Initiative” aimed at improving the content and presentation of disclosures by...more

Fenwick & West LLP

Securities Litigation and Enforcement Newsletter

Fenwick & West LLP on

SEC Enforcement Trends for 2016 - Welcome to the latest edition of Fenwick and West’s Securities Litigation and Enforcement Newsletter. In this newsletter, we look at SEC enforcement trends for 2016, starting with a...more

Katten Muchin Rosenman LLP

Senator Elizabeth Warren Criticizes SEC Chair Mary Jo White for “Extremely Disappointing” Leadership

In a letter dated June 2, 2015, Senator Elizabeth Warren described several “promises” that Mary Jo White, chair of the Securities and Exchange Commission, had allegedly broken. Senator Warren focused on (1) the SEC’s failure...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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This week Senator Elizabeth Warren forwarded a 13 page letter to SEC Chair White regarding her performance in office. The letter highlighted what it calls a “significant gap” between the promises of Ms. White at the time she...more

Proskauer - Corporate Defense and Disputes

Senator Warren’s Letter to the SEC Chair Calls for More Aggressive Enforcement

Senator Elizabeth Warren recently released a letter to SEC Chair Mary Jo White, complaining that her leadership of the SEC over the past two years has been “extremely disappointing.” The Senator opined that the nation’s...more

Morrison & Foerster LLP - JOBS Act

Update on SEC Rulemaking

Chair White, addressing the Investor Advisory Committee, provided an update on SEC rulemaking. Chair White identified the following initiatives...more

Carlton Fields

FSOC Presses SEC on Money Managers’ Systemic Risks

Carlton Fields on

The SEC is stepping lively to preserve a role in formulating any additional requirements for money managers—such as mutual funds and investment advisers—to limit perceived risks to the financial system. Although the...more

Broker-Dealer Compliance + Regulation

Coming Soon: Regulations for Uniform Fiduciary Standard

In testimony before the House Committee on Financial Services on March 24, 2015, SEC Chair Mary Jo White said that she supports a uniform fiduciary standard of conduct for broker-dealers and investment advisers that provide...more

Morrison & Foerster LLP - JOBS Act

Chair White’s Testimony on SEC Initiatives

In testimony today, Chair White provided a brief update on various rulemaking initiatives. She noted that, in connection with the Dodd-Frank Act mandates, the Division of Corporation Finance continues to work to implement...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

New FAQ's Regarding the Scope and Implementation of the Volcker Rule Issued by the U.S. Banking, Securities and Commodities Regulatory Agencies - On February 27, the Board of Governors of the Federal Reserve System,...more

Cooley LLP

Blog: Republicans To SEC Chair: Delay Pay Ratio Rules. Is A Repeal Attempt In The Offing?

Cooley LLP on

The WSJ reports that three Republican congressman — House Financial Services Committee Chairman Jeb Hensarling, and Reps. Scott Garrett and Bill Huizenga — have written to SEC Chair Mary Jo White urging that the SEC stop...more

Thomas Fox - Compliance Evangelist

A Royal Fan Responds: Russ Berland on the SEC Financial Report for FY 2014

Ed. Note-today we have a guest post from KC Royals fan and Stinson Leonard Street partner Russ Berland. As a Kansas City Royals fan, I would like to use this opportunity to congratulate the Royals on a great season...more

Miller Canfield

“The SEC Speaks” 2014 — SEC Reveals Regulatory and Litigation DNA Now Includes Economic Analysis and Technology

Miller Canfield on

The Securities and Exchange Commission is incorporating economic and technology-based data analytics and statistical analyses to support its regulatory functions, SEC Chair Mary Jo White revealed at the 43rd annual “The SEC...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

Dorsey & Whitney LLP

SEC Chair: It Will Be A Busy Year For Enforcement

Dorsey & Whitney LLP on

SEC Chair Mary Jo White outlined the 2014 agenda for the SEC in recent remarks. SEC Chair Mary Jo White, 41st Annual Securities Regulation Institute, Coronado, California (Jan. 27, 2014)(here). Portions of the agenda focused...more

Stinson - Corporate & Securities Law Blog

SEC Chair Discusses Potential Changes To Accredited Investor Definition

In a November 15, 2013 letter to Representative Scott Garrett (Chairman of the Subcommittee on Capital Markets and Government-Sponsored Enterprises for the House Financial Services Committee), SEC Chair Mary Jo White...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

Mintz - Public Finance Viewpoints

Financial Services Legislative And Regulatory Update -- March 25‚ 2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Members rushed out of town at the end of last week for a two-week...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

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