Tagged: mary jo white

January 27, 2014 @ 4:06 pm By JD Alois  |  

Securities and Exchange Commission (SEC) Chair Mary Jo White addressed the 41st Annual Securities Regulation Institute which has holding their annual gathering in San Diego, California. In a keynote address White states the objective of the SEC is to; “…to protect investors, make it possible… Read More

January 22, 2014 @ 1:08 am By Samuel S. Guzik, The Crowdfunding Counselor  |  

December 18, 2013 may well mark an historic turning point in the ability of small business to effectively access capital in the private and public markets under the federal securities regulatory framework.

December 20, 2013 @ 12:55 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has issued a staff report to Congress on its disclosure rules for U.S. public companies, as part of agency’s ongoing efforts to modernize and simplify disclosure requirements and reduce compliance costs for emerging growth companies. The report, mandated by… Read More

December 18, 2013 @ 2:42 pm By JD Alois  |  

SEC Proposes Rules to Increase Access to Capital for Smaller Companies The Securities and Exchange Commission earlier today voted to propose rules intended to increase access to capital for smaller companies.  The proposed rules are part of a mandate from Title IV of the JOBS… Read More

December 18, 2013 @ 1:02 pm By JD Alois  |  

The below remarks are from a meeting which was held earlier today (December 18, 2013) at the SEC regarding proposed changes to Regulation A – which were approved today.  SEC Chair Mary Jo White who opened the meeting presented this prepared statement which is posted… Read More

December 18, 2013 @ 12:18 pm By Georgia Quinn  |  

Today the SEC proposed the new affectionately named Regulation A+ as mandated by Title IV of the JOBS Act. The proposal lays out the framework which includes two tiers of offerings exempt from the full blown registration requirements of the 1933 Securities Act. All Regulation… Read More

November 13, 2013 @ 3:53 pm By JD Alois  |  

The Small Business Forum is an annual event, open to the public, which is held at the Securities and Exchange Commission.  The SEC has announced this year’s official agenda and current list of panelists. The Government-Business Forum on Small Business Capital Formation will begin on… Read More

November 4, 2013 @ 8:00 am By Samuel Guzik  |  

(Editors Note: The content below was corrected to reflect text included in the original article that was not clearly attributed to Dara Albright.) There was an air of euphoria in the crowdfunding community on October 23 when the U.S. Securities and Exchange Commission finally issued… Read More

October 24, 2013 @ 12:25 pm By Charles Luzar  |  

SEC Chair Mary Jo White, October 23 2013Because of the impact that this rule could have on the market, we have directed the staff to develop a comprehensive work plan to review and monitor the use of the crowdfunding exemption. If the proposal is adopted,… Read More

October 23, 2013 @ 11:46 am By Charles Luzar  |  

Here’s the meat of Chair Mary Jo White’s comments on equity crowdfunding proposed rules. Head to SEC.gov for the full statement. Also, be sure to check out the tweets from during today’s open meeting on equity crowdfunding rules. Good morning. This is an open meeting of… Read More

October 22, 2013 @ 7:49 am By Samuel Guzik  |  

The SEC Finally Convenes on Crowdfunding Rules – Let the Sun Shine! It had been more than 18 months since President Obama signed into law the multi-faceted potpourri entitled the Jumpstart Our Business Startups Act (the JOBS Act).   One of the more controversial provisions… Read More

October 21, 2013 @ 5:50 pm By Charles Luzar  |  

The SEC has just posted notice of a meeting under the Sunshine Act to weigh proposed rules for equity crowdfunding under Section 4(a)(6) of The Securities Act of 1933. This confirms the scoop earlier this week in Bloomberg, and also confirms the fact that the… Read More

October 21, 2013 @ 12:46 pm By Charles Luzar  |  

Yes, legislators in the United States can agree on something. A bipartisan group of Senators is frustrated with delays in the implementation of the JOBS Act, and they’re expressing that discontent in a letter directed squarely at SEC Chair Mary Jo White. The group of… Read More

October 18, 2013 @ 4:09 pm By Charles Luzar  |  

SEC Chair Mary Jo White addressed a crowd at today’s Managed Funds Association Outlook 2013 Conference in New York City. She spoke at length about the JOBS Act and specifically about Rule 506(c) and general solicitation. It may come as a bit of lip service for… Read More

October 17, 2013 @ 6:55 pm By Charles Luzar  |  

Updated 10/18/13 @ 11:00 AM EDT Bloomberg is reporting that the SEC is preparing to vote on a rule that would allow crowdfunding investors to self-certify their own yearly crowdfund investing limits. The JOBS Act specifies yearly limits for investors participating in crowdfunded securities. According… Read More

October 9, 2013 @ 10:27 am By JD Alois  |  

New Site is Just the Beginning of this Initiative with More Studies and Analyses to Come The Securities and Exchange Commission has unveiled a dynamic new website to provide investors and others with the ability to interactively explore a range of new market metrics and… Read More

October 2, 2013 @ 6:01 am By JD Alois  |  

The Securities and Exchange Commission (SEC) has awarded more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds.  This award is the largest to date from the Whistleblower program.  Payments to whistleblowers are made from… Read More

October 1, 2013 @ 11:19 am By Charles Luzar  |  

The JOBS Act may have been the last thing the US Congress could agree on. For now, vitriol and disagreement over issues, including but not limited to funding of the Affordable Care Act, have resulted in a government shutdown. What does this mean for the… Read More

September 26, 2013 @ 1:16 pm By JD Alois  |  

In a speech delivered in Chicago, SEC Chair Mary Jo White outlined her approach regarding the SEC’s enforcement approach.  Calling for a need to be both “aggressive and creative”, the Chair described a strict approach where both large and small cases will be pursued. White… Read More

September 10, 2013 @ 9:36 am By Brian Knight  |  

With the recent confirmation of Mary Jo White as Chairman of the SEC and Kara Stein, and Michael Piwowar as SEC Commissioners, the leadership of the SEC is undergoing significant changes that will affect public policy for years to come. It has been argued that… Read More