Tagged: elisse walter

Kara Stein Sworn in as SEC Commissioner Replaces Former Commissioner Elisse Walter

The SEC has announced that Kara M. Stein was sworn into office as an SEC Commissioner this afternoon by SEC Chair Mary Jo White.  Ms. Stein, nominated by President Barack Obama, replaces former Commissioner Elisse Walter. “It is an honor to join my fellow Commissioners… Read More

On Mary Schapiro’s Legacy

I look forward to talking tomorrow. I have 2 worries – one is that if these guys (CFA, et al) feel this strongly, it seems like we should give them a comment period. Its not really asking for much… The other is that I don’t want… Read More

Today Could Be Pivotal For Investment Crowdfunding

In a few hours, Elisse Walter will sit in front of members of the House of Representatives Oversight Committee to answer questions on why key elements of the JOBS Act are still in limbo more than a year after the Act was signed into law…. Read More

Outgoing SEC Chairman Elisse Walter Alludes to Challenges in Regulating Jobs Act

In a gracious and wide ranging speech given to students at George Washington University, current SEC Chairman Elisse Walter spoke about the mission of the Securities and Exchange Commission and the importance of the public sector in regulating markets and the overall health of the… Read More

Speech Delivered by SEC Chairman Elisse Walter for Australian Securities and Investments Commission Forum

Elisse Walter SEC Chairman

Attached is the speech, in it’s entirety, as delivered by SEC Chairman Elisse Walter, presented to the Australian Securities and Investment Commission (ASIC) which was done by video conference yesterday for the event occurring in Sydney Australia.  While no mention of crowdfunding was directly included… Read More

SEC Chairman Elisse Walter Calls for More International Co-operation

Current SEC Chairman Elisse Walter will be delivering a speech to the Australian Securities & Investments Commission (ASIC) via video this week where she will address issues of  international co-operation amongst security regulators.  According to The Australian, she was originally to attend the conference but due… Read More

SEC Chairman “Crowdfunding Coming Soon”

SEC Chairman Elisse Walter states crowdfunding coming soon in a speech titled  Making the Markets Safe for Informed Risk-Taking.   As part of the SEC Speaks series of presentations the comment was just a portion of the speech which you may view in its entirety here. Companies… Read More

Advocates urge SEC to propose crowdfunding rules

About a dozen crowdfunding and venture capital representatives and small-business advocates last Tuesday urged Securities and Exchange Commission Chairman Elisse Walter to propose rules for crowdfunding.  A type of financing that lets small investors buy equity or debt in startups over the Internet, crowd funding… Read More

Crowdfunding Stakeholders Leave DC Optimistic, Wanting Action

According to sources in the crowdfunding industry who were present for yesterday’s meetings in Washington, there is reason for cautious optimism in regards to Title III implementation. The message from the industry was clear; We’ve examined the problem domain and we’re ready to go, but… Read More

Advocates Push SEC To Propose Crowdfunding Rules

About a dozen crowd funding and venture capital representatives and small-business advocates on Tuesday urged Securities and Exchange Commission Chairman Elisse Walter to propose rules for crowd funding. A type of financing that lets small investors buy equity or debt in startups over the Internet,… Read More

SEC Agenda for Feb. 1 Meeting of Advisory Committee on Small and Emerging Companies (Updated)

Washington, DC –  The Securities and Exchange Commission today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies being held this Friday, February 1. The Committee will consider recommendations about trading spreads for smaller exchange-listed companies, creation of a… Read More

GOP blasts SEC for slow responses to oversight requests

Republicans on the House Oversight Committee are chiding the Securities and Exchange Commission (SEC) for providing laggard responses to their requests. In the letter to SEC Chairman Elisse Walter, the GOP lawmakers accused the SEC of “unacceptable” behavior in responding to committee requests for information… Read More

New SEC Chairman’s Implications to Jobs Act Crowdfunding

In predicting the new SEC Chairman Elisse Walter‘s impact on Title III Crowdfunding exemption perhaps the most relevant insight Walter has provided is contained in a 2009 article regarding her position on the regulation of Broker-Dealers and Investment Advisors (EB Walter, ‘Regulating Broker–Dealers and Investment… Read More

Next SEC Chairman Can Prime IPO Pump

Elisse Walter SEC Chairman

“I don’t think an IPO has happened over the past couple of years below 500 million dollars.” That observation by Robert Kaplan, Jr. — a partner with Kaplan Voekler Cunningham & Frank — about the dearth of small initial public offerings by small and mid-sized… Read More

Schapiro Out, Walter In at SEC… Now What?

Mary Schapiro has stepped down as chairman of the SEC.  President Obama has appointed Elisse Walter to head the SEC upon Mary Schapiro’s departure. Immediately following Ms. Schapiro’s announcement, there was some concern that the process of installing a replacement would bring delays to the… Read More

SEC leadership change could further delay crowdfunding

News of a leadership change at the Securities and Exchange Commission has some experts concerned that entrepreneurs may have to wait even longer for highly anticipated yet already delayed crowdfunding rules. SEC chairman Mary L. Schapiro announced Monday that she will step down next month, and President… Read More

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