Mary Jo White is touted as a former tough prosecutor with the ability to police Wall Street. She is at the top of her profession, with experience as a leading corporate defense attorney. And it is this very experience that raises questions as to whether she can and will do the job.
"Pro-life" values? Not a label that abortion-rights advocates should use for opponents of a woman's right to choose an abortion. One of the main reasons those opponents keep calling themselves "pro-life" is they want to imply that supporters of abortion rights are anti-life. Why help?
We cannot afford more caves and concessions on critical issues for which there really can be no compromise, Mr. President. You must recognize this moment as an opportunity to show the nation and the world true leadership. There could be no better time.
The Securities and Exchange Commission is finalizing its work on implementation of the Jumpstart Our Business Startups Act, signed into law by Preside...
Corporations spend big money on politics. But shareholders who want to track this kind of political spending have to pore over federal elections filings or hope that a journalist will do that work for them.
It must've been like old home week when the old gang of Wall Street and Washington insiders finalized a couple more cushy settlements last week. But there was an empty chair at the negotiating table. That chair belongs to you, and it belongs to me.
She now has an opportunity to show that she also has the strength of character to lead this often-fractious agency in these difficult and challenging times. Nothing less than the safety and integrity of our capital markets depend on the choices she makes.
Equity crowdfunding (or crowdfund investing) is not operational and not legitimate in the United States yet and for those who are growing comfortable with the concept, there are three essential facts to remember.
The agency says that the update to Hastings' 200,000+ subscribers where he said "members had enjoyed over 1 billion hours in June" violated the SEC Regulation Fair Disclosure (Reg FD) rule.
Securities and Exchange Commission (SEC) received 3,001 tips to its new Whistleblower Office during fiscal 2012 (starting in October 2011). This undoubtably begs the question: How can we put that number into context?
Any manager remotely associated with the demise of the nation's largest bank might seem an unlikely choice to head the SEC. Yet Sallie Krawcheck, the woman who served as CFO of Citigroup in the run-up to the 2008 financial crash, is now on a short list of candidates.
Though the SEC's responsibilities have grown considerably, its enforcement budget -- relative to total managed investment assets in the market -- has fallen by nearly 50 percent since 2005.
Mary Schapiro's legacy as head of the Securities and Exchange Commission will be that the agency did not become entirely useless on her watch -- although that is maybe the best you can say about it.
The credit-rating agencies are like a miserable long-term relationship: You desperately want to end it, but can't imagine life without it.
Computers owned by the SEC Trading and Markets division were brought by SEC staffers to a hacker convention. They contained unencrypted, step-by-step instructions to shut down our financial trading system. Essentially: A Hacker's Guide to our Financial Universe.
What did the SEC do when it realized the danger to other investors from high-speed trading? Did it warn the American people? Order high speed trading to cease? Ban algorithms designed to cheat other investors? Absolutely not!