Tagged: mary jo white

November 20, 2014 @ 10:43 am By Erin Hobey  |  

The Securities and Exchange Commission today announced that its Advisory Committee on Small and Emerging Companies will hold its next meeting on Wednesday, Dec. 17, beginning at 9:30 a.m. ET.  The committee will focus on the interests and priorities of emerging and smaller public companies…. Read More

October 29, 2014 @ 3:00 pm By JD Alois  |  

DJ Paul, CFIRA Co-Chair and CSO of Propellr, has been appointed by SEC Chair Mary Jo White to become a member of the SEC Advisory Committee on Small & Emerging Companies for a term that begins immediately.  The SEC established this committee in 2011 as… Read More

October 27, 2014 @ 8:00 am By Samuel Guzik  |  

  The place: Washington, D.C. – the occasion: the swearing in of a new federal agency head – one charged in part with regulating the flow of capital to small businesses.  President Obama and others listened with a hopeful ear. Her words were inspiring, especially… Read More

October 19, 2014 @ 11:20 am By JD Alois  |  

The Securities and Exchange Commission not only spends a lot of time creating rules they also hit the streets and enforce them.  Monolithic and ill thought out legislation such as Dodd-Frank create an almost never ending list of new rules adding complexity and inertia to… Read More

October 1, 2014 @ 2:12 pm By Erin Hobey  |  

WealthForge, a leading technology provider for raising private capital online, today announced its list of the top 15 influencers in the private placement industry. The 15 individuals come from diverse backgrounds, with professionals across the financial, technology, legal and regulatory sectors. “These 15 industry experts… Read More

August 15, 2014 @ 5:34 pm By JD Alois  |  

As the days turn into months, and the months turn into years, the JOBS Act, signed into law in 2012, remains an under-utilized piece of legislation due to missing final rules from the Securities and Exchange Commission (SEC).  While the debate continues as to what… Read More

June 14, 2014 @ 8:30 am By JD Alois  |  

Last week during a quick trip to New York City, SEC Chair Mary Jo White addressed the Sandler O’Neill & Partners, L.P. Global Exchange and Brokerage Conference. The title of her speech was “Enhancing Our Equity Market Structure” – a noble subject to be certain.  The… Read More

May 15, 2014 @ 1:44 pm By JD Alois  |  

SEC Chair Mary Jo White took another trip up to Capitol Hill yesterday – this time visiting the Senate side where she once again explained her case for funding needs for the SEC.  If you are interested in watching the recorded hearing you may hop… Read More

April 29, 2014 @ 6:25 pm By JD Alois  |  

Securities and Exchange Commission Chair Mary Jo White travelled to Capital Hill today to visit the House Committee on Financial Services.  In prepared remarks Chair White reviewed what has been accomplished during her tenure and what expectations for 2014 she holds for the agency. The… Read More

April 29, 2014 @ 10:03 am By JD Alois  |  

Securities and Exchange Commission Chair Mary Jo White will testify before the House Financial Services Committee on Tuesday, April 29. The committee will hold an oversight hearing to examine the SEC’s rulemaking agenda, operations and $1.7 billion budget request. Committee members are also expected to… Read More

April 28, 2014 @ 8:00 am By Samuel S. Guzik, The Crowdfunding Counselor  |  

Since the 1930’s Regulation A has been unremarkable as a little known and little used “exemption” from the full SEC registration process – intended to allow smaller companies to access public markets through a streamlined SEC registration process – with “reviewed” financial statements and no… Read More

April 28, 2014 @ 7:01 am By JD Alois  |  

The House Financial Services Committee, Chaired by Congressman Jeb Hensarling, is set to get an update from Securities and Exchange Commission Chair Mary Jo White this week regarding multiple issues at the SEC.  Scheduled for  this coming Tuesday, April 29th at 10AM, White will be… Read More

April 14, 2014 @ 11:42 am By JD Alois  |  

The Investor Advisory Committee (IAC) meeting was held last week on April 10th at the SEC.  The agenda, previously published, indicated the IAC would address retail crowdfunding and review their recommendations as part of the rule making process. The meeting started with SEC Chair Mary… Read More

March 21, 2014 @ 10:15 am By JD Alois  |  

In a speech delivered today to the Consumer Federation of America, Securities and Exchange Commission Chair Mary Jo White addressed the needs of protecting the consumer in the securities markets. White mentions the recent appointment of Rick Fleming as the agency’s head in the new… Read More

March 20, 2014 @ 10:26 am By JD Alois  |  

In the keynote address delivered today in London to the Annual Institute on Securities Regulation in Europe, Keith Higgins, Director, Division of Corporate Finance at the SEC, talked JOBS Act and crowdfunding. The speech titled The New World of Capital Formation jumped right into the… Read More

March 10, 2014 @ 11:27 am By Samuel S. Guzik, The Crowdfunding Counselor  |  

Title III of the JOBS Act created an exemption from registration for the offer and sale of so-called “crowdfunded” securities under the Securities Act of 1933, allowing the offer and sale of securities to an unlimited number of unaccredited investors without registration with the SEC,… Read More

February 12, 2014 @ 8:13 pm By JD Alois  |  

Rick Fleming Currently at North American Securities Administration Association (NASAA) Slated to Become Investor Advocate this Month. The Securities and Exchange Commission (SEC) has appointed Rick A. Fleming to become the first head of the agency’s Office of the Investor Advocate.  As the Investor Advocate,… Read More

February 9, 2014 @ 6:47 am By JD Alois  |  

Securities and Exchange Commission (SEC) Chair Mary Jo White testified before the Senate Banking, Housing & Urban Affairs Committee this past week.  In her prepared comments, entitled “Oversight of Financial Stability and Data Security“, she addressed a litany of challenges and initiatives presently being addressed… Read More

February 3, 2014 @ 9:57 am By JD Alois  |  

Title III of the JOBS Act is the portion of the legislation which has become emblematic for the concept of “crowdfunding”.  This section of the act guides “retail” crowdfunding or the ability of non-accredited investors to participate in crowdfunded public offerings of up to $1… Read More

January 27, 2014 @ 4:19 pm By Samuel Guzik  |  

In a speech delivered today by SEC Chair Mary Jo White at the 41st Annual Securities Regulation Institute in Coronado, California, entitled: “The SEC in 2014,” it appears that Chair White has “gotten the memo” from her predecessors, and is well on her way to… Read More