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Enforcement Mary Jo White

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

Katten Muchin Rosenman LLP

SEC Chair Attempts to Reassure Compliance Officers That They Will Not Be Targeted

Demonstrating the effect recent enforcement efforts have had on the industry, in remarks given in Washington, DC at a Compliance Outreach Program for broker-dealers, Securities and Exchange Commission Chairman Mary Jo White...more

Cooley LLP

SEC Sends A Message — To Executives And Their Companies

Cooley LLP on

In October 2013, SEC Chair Mary Jo White gave a speech at the Securities Enforcement Forum in which she declared an “enforcement mission” of the SEC to be implementation of the “broken windows” theory of crime deterrence...more

The Volkov Law Group

A Chilling Message: Prosecuting Chief Compliance Officers

The Volkov Law Group on

As Chief Compliance Officers rise in the corporate hierarchy, they will become the focus of more enforcement actions. This increased focus on prosecution of CCOs could have a chilling effect on their performance and the...more

Brooks Pierce

The SEC v. Congress . . . for the Title

Brooks Pierce on

You don’t see this every day. On Friday, the SEC filed a subpoena enforcement action seeking production of documents from the House Ways and Means Committee and documents and testimony from one of its staff members, Brian...more

Dechert LLP

Second Circuit Overturns Lower Court's Refusal to Approve SEC Settlement With Citigroup

Dechert LLP on

In an eagerly anticipated decision, the U.S. Court of Appeals for the Second Circuit vacated the 2011 decision of Judge Jed S. Rakoff of the U.S. District Court for the Southern District of New York, rejecting a proposed...more

Akin Gump Strauss Hauer & Feld LLP

SEC Chair Describes Sweeping Initiatives To Reform Market Structure And Increase Transparency

In a speech delivered on June 5, 2014 at the Sandler O’Neill Global Exchange and Brokerage Conference in New York, U.S. Securities and Exchange Commission (SEC) Chair Mary Jo White unveiled a package of SEC initiatives aimed...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending May 2, 2014)

Dorsey & Whitney LLP on

Chair Mary Jo White testified before Congress this week. Her testimony focused on the budget, reviewing the recent work of the agency. The Commission brought a series of civil injunctive and administrative proceedings this...more

Cadwalader, Wickersham & Taft LLP

SEC Renews its Enforcement Focus—With Vigor—on Accounting Issues (Quorum, March 2014)

In the wake of Mary Jo White’s appointment as the new Chair of the Securities and Exchange Commission, the SEC’s Division of Enforcement has sought to aggressively investigate alleged accounting violations. ...more

King & Spalding

SEC Enforcement Update - The SEC Speaks in 2014: Beware the Data Crunchers

King & Spalding on

Even more notable to securities practitioners than the attendance of Mark Cuban at this year’s SEC Speaks event (held in Washington, D.C. on February 21 22, 2014) was the start-to-finish focus of the Enforcement Division on...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

K&L Gates LLP

In Mary Jo White’s Own Words: Ten Changes to Expect from the SEC’s New Enforcement Program

K&L Gates LLP on

Investors, borrowers, financial institutions, and the economy were not the only casualties of the financial crisis. Regulators were casualties too, and the SEC was one of the hardest hit. Two Harris Polls—one conducted in...more

Eversheds Sutherland (US) LLP

SEC Suffers Three Recent Losses Despite Increased Focus on Trial Readiness

Since becoming Chair of the Securities and Exchange Commission (“SEC” or “Commission”) in April 2013, Mary Jo White has articulated a number of new enforcement priorities for the SEC. White has suggested, for instance, that...more

King & Spalding

SEC Enforcement/Securities Litigation and D&O Insurance

King & Spalding on

Recent SEC Enforcement Developments - .. Change in SEC policy regarding “no admissions” settlements - SEC Chair Mary Jo White has joined with colleagues at DOJ to change the perception that U.S. companies are...more

Morrison & Foerster LLP - JOBS Act

Venture Exchanges in the U.S. and Right-Sized Disclosure Requirements

In a recent speech delivered at a Futures Industry Association conference, Commissioner Gallagher raised the possibility of a venture exchange. Commissioner Gallagher addressed broader market structure issues in his remarks;...more

Broker-Dealer Compliance + Regulation

White on Serving as Fund Director: Not for the Uninitiated or Faint of Heart

SEC Chair Mary Jo White dismissed suggestions that the SEC’s recent focus on “gatekeepers,” including fund directors, may drive away qualified candidates “for fear of being second-guessed or blamed for every issue that...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

Broker-Dealer Compliance + Regulation

The SEC Will Focus on Fixing “Broken Windows” it Finds in the Securities Industry

In a speech presented to the second annual Securities Enforcement Forum on October 9, 2013, SEC Chair Mary Jo White described a broad expansion of the SEC’s enforcement program to reflect her desire “to see that the SEC’s...more

The Volkov Law Group

SEC “Refocuses” On Accounting Fraud

The Volkov Law Group on

It is almost a government rite of passage – when a new leader takes the reins, the chessboard has to be reorganized to reflect the new leader’s “new priorities.” When it comes to the SEC, and the new Chairwoman Mary Jo...more

Stinson - Corporate & Securities Law Blog

Mary Jo White On Criteria For Seeking Admissions Of Wrongdoing And Enforcement Priorities

In a recent speech, SEC Chair Mary Jo White spoke to the types of cases where admissions of wrongdoing might be appropriate. According to Chair White, candidates potentially requiring admissions include...more

The Volkov Law Group

The SEC’s New Aggressive Tack

The Volkov Law Group on

As a former US Attorney for the Southern District of New York, Mary Jo White promised a new and more aggressive SEC. She is starting to deliver on that promise....more

Morgan Lewis

The SEC Speaks: Enforcement Panel Discusses 2013 Priorities and Past Successes

Morgan Lewis on

Changing SEC leadership defines its priorities for a new era of SEC enforcement. At the annual "The SEC Speaks" conference on February 22 in Washington, D.C., Acting Director George Canellos and other senior officials...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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