Tagged: mary jo white

July 20, 2015 @ 12:46 pm By JD Alois  |  

Dodd- Frank was a 895 page act of legislation designed to right the wrongs that caused the implosion of financial markets that ended up in the rubble of the Great Recession.  Five years ago this month, the bill was signed into law and set forth on… Read More

June 17, 2015 @ 10:42 am By Anthony Zeoli  |  

The Securities and Exchange Commission’s (SEC) Advisory Committee on Small and Emerging Companies met in early June to discuss various topics concerning, of course, small businesses. One of the primary topics the Committee addressed was the growing enactment and use of state-based crowdfunding (i.e. “Intrastate… Read More

June 5, 2015 @ 9:34 pm By JD Alois  |  

Senator Elizabeth Warren, an outspoken critic of all things associated with Wall Street, launched a blistering frontal assault against the current Chair of the SEC – Mary Jo White. It should be noted that Mary Jo White was selected by President Barack Obama to reinvigorate… Read More

May 30, 2015 @ 5:20 pm By JD Alois  |  

How time flies. The SEC is mandated by law to convene a forum on Small Business Capital Formation once a year. The practice has become an annual event that combines both hope and frustration.  The SEC is not required to act on any of the… Read More

May 27, 2015 @ 9:14 am By JD Alois  |  

CFIRA and CfPA Issue Joint Statement Regarding Lawsuit Against the SEC to Block Implementation of Regulation A+, Title IV of the JOBS Act In a joint statement released today by the leadership of crowdfunding industry associations Crowdfunding Intermediary Regulatory Advocates (CFIRA) and the Crowdfunding Professional… Read More

May 14, 2015 @ 11:21 am By JD Alois  |  

One of the most vocal advocates for small business and rational rule making is leaving the Securities and Exchange Commission.  Daniel Gallagher, an SEC Commissioner for the past four years, has reportedly told multiple people he is ready to move on after a vocal tenure… Read More

April 21, 2015 @ 11:39 pm By JD Alois  |  

April 15th was not only the dreaded federal tax deadline day, but it is also the date that Jackie Robinson played his first professional baseball game and the day Abe Lincoln died. It also happens to be the date (this year) that SEC Chair Mary Jo… Read More

April 11, 2015 @ 3:22 pm By JD Alois  |  

SEC Chair Mary Jo White opened up last weeks Investor Advisory Committee meeting with a brief welcome and recap of recent events. She first commented on the final rules for Reg A+ “which are intended to enhance the ability of small companies to raise capital”,… Read More

March 25, 2015 @ 12:45 pm By JD Alois  |  

The Securities and Exchange Commission met today to finalize rules for Title IV of the JOBS Act, commonly referred to as Regulation A+.  As expected the Commission quickly approved rules that included state Blue Sky pre-emption but for only Tier 2 of Title IV.  The… Read More

March 11, 2015 @ 7:00 am By Samuel Guzik  |  

To borrow a line from SEC Commissioner Daniel M. Gallagher, quoting from the fight song of his alma mata, Georgetown University:  Oh How Long It’s Been! As we approach the three year anniversary of the signing into law of the JOBS Act of 2012 it… Read More

March 6, 2015 @ 9:02 am By JD Alois  |  

Steve Case, a staunch proponent of investment crowdfunding and advocate of access to capital for SMEs, called out billionaire pundit Mark Cuban on CNBC this morning. Ostensibly the discussion was on the Tech Bubble “Yes or No” polemic but discourse ended up being a bit… Read More

February 27, 2015 @ 3:35 pm By JD Alois  |  

The SEC has shared the agenda for the next meeting of the Advisory Committee on Small & Emerging Companies.  This committee was recently re-animated by SEC Chair Mary Jo White.  The Committee provides insight and advice to the SEC on privately held small businesses and publicly… Read More

February 20, 2015 @ 11:33 am By JD Alois  |  

SEC Chair Mary Jo White addressed the Practicing Law Institute in DC this morning and it appears that most of the big shots at the SEC are sharing their wisdom as well today. Following opening remarks by Andrew Ceresny, the Director of SEC Enforcement and Keith… Read More

February 9, 2015 @ 4:30 pm By Samantha Hurst  |  

Ready to share his thoughts about the new year, CEO of PENSCO, Kelly Rodriquez revealed his top five predictions for 2015. During a recent post on the platform’s blog, Rodriquez stated, “As the CEO of PENSCO, I find myself at a fascinating intersection between IRAs, alternative… Read More

January 9, 2015 @ 3:43 pm By Samantha Hurst  |  

U.S. Senators Michael Bennet (D-CO) and Jeff Merkley (D-OR) called on the Securities and Exchange Commission (SEC) to finalize its crowdfunding rules that will allow small businesses and start-ups to raise capital online and through social media. The senators were lead sponsors along with former Republican… Read More

December 30, 2014 @ 6:39 am By JD Alois  |  

For the third year in a row the Securities and Exchange Commission has published an annual review of the past year, the primary focus being financial results.  The document is a nice summary of just about everything the SEC did last year.  As with any… Read More

December 3, 2014 @ 9:32 am By Samuel Guzik  |  

It could have been the kickoff of a grand political campaign – a slogan that would be proud to adorn a bumper sticker for the most ambitious of politicians – and a sound byte that would be sure to grab the next day’s headlines in… Read More

November 29, 2014 @ 1:58 pm By JD Alois  |  

The week of November 17th should be officially designated “SME Regulatory Week” due to the number of events that occurred in our nation’s Capitol over several days.  The primary draw was the SEC Government-Business Forum on Small Business Capital Formation. In contrast to past years,… Read More

November 28, 2014 @ 7:32 am By Kim Wales  |  

The 2014 Securities and Exchange Commission Government-Business Forum on Small Business Capital Formation ensued on November 20, 2014 at the SEC headquarters in Washington, D.C. In usual form, since the signing of the Jumpstart Our Business Startups Act (JOBS Act), the crowd (attorney’s, issuers, intermediaries, regulators, investors,… Read More

November 24, 2014 @ 3:07 pm By Samuel Guzik  |  

For those of you who have been reading my articles over the past four months, I have tried to create heightened awareness of a perennial SEC event, the SEC Government-Small Business Forum, an annual event borne out of bi-partisan legislation in 1980. Its primary purpose:… Read More