Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.

Keep me logged in Forgot your password?

Please wait...

Please wait...

 Mary Jo White

Aguilar Pitches Creation of an SEC Cyber-Security Task Force

March 27, 2014

As the Securities and Exchange Commission grapples with whether to pursue additional cyber-security disclosure requirements and mandatory safeguards for public companies and exchanges, Commissioner Luis Aguilar is proposing a new Cyber-Security Task Force. It would be composed of representatives from each SEC division and advise on future guidance and rules. More inside.
 

White: SEC Disclosure Reform Moving Forward, Despite Hurdles

March 20, 2014

The next steps in a comprehensive rethinking of the Securities and Exchange Commission's disclosure regime should be coming soon and an assessment is underway by the Division of Corporation Finance, according to SEC Chairman Mary Jo White. The biggest hurdle, she said, is balancing the needs of retail and institutional investors. More details inside.
 

Unhappy Campers: SEC Employees Say Hard Work Is Rarely Rewarded

December 11, 2013

Staff at the Securities and Exchange Commission happily put in long hours, but feel their talents aren't well-utilized, there is a lack of advancement opportunities, and politics, rather than competency, rule the day for pay raises and promotions. Those are takeaways from a government-wide survey of employee satisfaction.
 

Behind the SEC's New 'Broken Windows' Enforcement Strategy

November 05, 2013

A tectonic shift in the Securities and Exchange Commission's approach to enforcement is underway, with the Commission vowing to leave no stone unturned in its pursuit of securities lawbreakers. With limited resources and large budget increases from Congress unlikely, however, some are wondering if the agency can make good on the "broken windows" strategy of pursuing cases large and small. Full details inside.
 

SEC Chair Talks Up Efforts to Build Better Compliance Programs

October 22, 2013

Citing the crucial role of compliance, Securities and Exchange Commission Chairman Mary Jo White pledged in a speech last week to continue efforts that empower those professionals. That includes encouraging companies to give compliance more resources and recognition and pursuing companies that fail to maintain adequate compliance programs. More inside.
 

White Hints at Ways SEC May Overhaul Disclosure Requirements

October 18, 2013

Are the many disclosure requirements put upon public companies actually benefiting investors? That's the question Securities and Exchange Commission Chairman Mary Jo White posed during a recent speech, where she hinted at how, responding to a JOBS Act mandate, the Commission may soon consider an overhaul of its disclosure regime.
 

SEC Goes Live With Public Website for Crunching Exchange Data

October 09, 2013

A new Securities and Exchange Commission Website opened last week giving investors the opportunity to analyze a wealth of market activity data and research. Each day, the SEC collects one billion records from securities exchanges. The site also contains powerful tools that enable the public to sift through the data, create charts, and make comparisons. More on the database inside.
 

White Signals SEC Review of Exchange's Self-Regulatory Status

October 03, 2013

Mary Jo White, chairman of the Securities and Exchange Commission, suggested in a speech last week that the SEC may scrutinize the self-regulatory status of stock exchanges, such as the New York Stock Exchange and Nasdaq. She also announced plans to disseminate billions of trading records collected from exchanges by the SEC on a new public Website. More inside.
 

SEC Seeks More Comments on Additional Fundraising Rules

October 01, 2013

The SEC will reopen the comment period for an additional 30 days on JOBS Act rule changes, lifting the longstanding ban on general solicitation for private securities offerings. The SEC wants more input on controversial proposed rules that would require issuers to provide additional information about their securities offerings and abide by new Form D filing requirements. More inside.
 

White Details SEC's Enforcement Priorities, Focus on Fines and Guilt Admissions

September 26, 2013

Expect more big fines and demands for improved internal controls and compliance programs from the Securities and Exchange Commission in the months ahead. Speaking at the Council of Institutional Investors' fall conference last week, Chairman Mary Jo White shared her thoughts on what the Commission is doing right, and will do more of, including asking more companies to admit to guilt when settling litigation. More inside.
 

SEC Chairman Asks Exchanges to Collaborate on 'Flash Crash' Solutions

September 12, 2013

Responding to a "flash Crash" on Aug. 22 that disrupted the trading of Nasdaq listed securities, Securities and Exchange Commission Chairman Mary Jo White convened a meeting with the top national exchanges on Thursday. The result is an action plan all parties agreed to work on.
 

White: Proposed Disclosure Requirements Won't Delay General Solicitation

August 12, 2013

The Securities and Exchange Commission will not withdraw a JOBS Act-related rule proposal that has drawn the ire of Congressional Republicans, and new disclosure requirements will not delay the ability of issuers to advertise their private offerings, said Chairman Mary Jo White in a letter to members of Congress last week.
 

Stein Officially Sworn in as Newest SEC Commissioner

August 12, 2013

On Friday, Kara Stein was officially sworn in as the newest commissioner at the Securities and Exchange Commission, replacing former Commissioner Elisse Walter. Dr. Michael Piwowar, President Barack Obama's Republican nominee, is expected to be sworn into office later this week, replacing the outgoing Troy Parades.
 

SEC Revamps Enforcement Division, Shifts to Focus on Fraud

July 02, 2013

Recharged with a new chairman and two new co-directors within its Division of Enforcement, the SEC is poised to make some significant waves with its revamped enforcement team. Expect more focus on fraud, observers say, and less focus on the financial crisis. And those specialized units that target the FCPA, municipal securities, and other specific misconduct? They're here to stay. More inside.
 

Compliance Week now has a companion group on LinkedIn, where members can network and discuss the compliance and governance news of the day. Open to all compliance professionals, free to join.





Top Global GRC Risks
Sponsored by NAVEX Global


Thought Leadership

Data: The Tail That Wags the Stress Test
Sponsored by Trillium Software


Conflict Minerals Webcast Series
Sponsored by 3e Co., iPoint, Schulte Roth & Zabel and Source Intelligence


Compliance Week Podcasts ...

Every week we chat with leading thinkers in compliance, auditing, risk management, public policy and more. These short (10-15 minutes) interviews are free to all. Follow Compliance Week podcasts on iTunes.