Mary Jo White Archives - CFO

Private Companies: Beware of SEC Scrutiny

Risk & Compliance

Private Companies: Beware of SEC Scrutiny

The Securities and Exchange Commission is bringing case after case charging private companies and their executives with fraud.

By David McCann | April 22, 2019

In Accounting Swan Song, SEC’s White Urges Convergence

Revenue Recognition

In Accounting Swan Song, SEC’s White Urges Convergence

Outgoing SEC Commissioner Mary Jo White encourages FASB and IASB to continue collaboration.

By David Katz | January 6, 2017

Trump Names Wall Street Lawyer to Head SEC

Risk & Compliance

Trump Names Wall Street Lawyer to Head SEC

Jay Clayton, who has spent decades defending large banks, would become another Trump appointee with longstanding Wall Street ties.

By Matthew Heller | January 4, 2017

PCAOB Chair Goes on the Defensive

PCAOB Chair Goes on the Defensive

The Republican electoral wins pose an added threat to the tenure of PCAOB Chair James Doty.

By David Katz | November 30, 2016

SEC Approves New Markets Oversight System

Risk & Compliance

SEC Approves New Markets Oversight System

The consolidated audit trail will track the life cycle of every trade in the markets, accounting for billions of transactions, canceled orders and quotes.

By Matthew Heller | November 16, 2016

SEC Eases Restrictions on Intrastate Offerings

Risk & Compliance

SEC Eases Restrictions on Intrastate Offerings

By allowing issuers to solicit capital out of state, the commission recognized the "tremendous expansion of internet communications."

By Matthew Heller | October 28, 2016

SEC Hit Record Enforcement Highs in 2016

Risk & Compliance

SEC Hit Record Enforcement Highs in 2016

The SEC broke records for single-year enforcement actions filed and total dollars gained from forfeitures.

By Sean Allocca | October 13, 2016

House Blocks SEC’s Universal Proxy Ballot Plan

Risk & Compliance

House Blocks SEC’s Universal Proxy Ballot Plan

The SEC has been working on a rule that could give activist investors an edge in contested board elections.

By Christopher Hosford | July 8, 2016

SEC Considering Tighter Regulation of ETFs

Risk & Compliance

SEC Considering Tighter Regulation of ETFs

"Despite the popularity and broad success of these funds, their history is not without some turbulence," SEC Chair Mary Jo White says.

By Katie Kuehner-Hebert | May 20, 2016

SEC to Increase Scrutiny of Mutual Funds

Risk Management

SEC to Increase Scrutiny of Mutual Funds

The agency is concerned about liquidity as a "market-wide risk" after the failure last year of a high-yield bond fund.

By Katie Kuehner-Hebert | January 11, 2016

Appeals Slowing Down SEC’s ‘Fast-Track’ Process

Risk & Compliance

Appeals Slowing Down SEC’s ‘Fast-Track’ Process

The median time for the SEC to decide appeals of the in-house judges’ decisions has increased to 19 months.

By Matthew Heller | December 22, 2015

GOP Acts to Block Political Disclosure Rule

Risk & Compliance

GOP Acts to Block Political Disclosure Rule

A provision slipped into the $1.1 trillion spending bill would bar the SEC from forcing public companies to disclose their campaign contributions.

By Katie Kuehner-Hebert | December 16, 2015

SEC Chair: Audit Quality Improving Since SOX

SEC Chair: Audit Quality Improving Since SOX

But Mary Jo White cautions that recent PCAOB inspections have found "significant deficiencies" and audit committees may be taking on too much work.

By Matthew Heller | December 10, 2015

SEC Opens Crowdfunding to Small Investors

SEC Opens Crowdfunding to Small Investors

The commission approved the final rules of Title III of the JOBS Act, extending equity crowdfunding to those of modest wealth.

By Matthew Heller | November 2, 2015

SEC Proposes to Vastly Expand Clawback Rules

Risk Management

SEC Proposes to Vastly Expand Clawback Rules

The proposal makes executives subject to pay clawbacks even when there was no misconduct, but doesn't say how to measure the value of equity compensation.

By David McCann | July 1, 2015