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Securities Regulation Institute (39th Annual)

Author(s): Steven E. Bochner, Mary Jo White, David B. Harms
Practice Area: Corporate & Securities
Published: Nov 2007
ISBN: 9781402409714
PLI Item #: 11518
CHB Spine #: B1634, B1635

Steve is a corporate and securities partner at Wilson Sonsini Goodrich & Rosati where he practices out of the Firm’s Palo Alto office.  From 2009 – 2012, Steve was the CEO of the Firm.  Steve has served as an advisor to the SEC and Nasdaq on a variety of securities law, governance, financial reporting and capital formation matters.  He was extensively involved in the development of Nasdaq’s rules with respect to corporate governance reform and other listing standards, and served as Co-Chair of the Nasdaq Listing and Hearing Review Council.  Steve was a member of the SEC Advisory Committee on smaller public companies, which was charged with evaluating the current securities regulatory system, including the impact of the Sarbanes Oxley Act.  Many of the Committee’s recommendations have since been adopted as rule changes by the SEC.  

Steve served as one of two attorneys on the IPO Task Force where he was extensively involved in designing the IPO-related provisions of the Jobs Act of 2012, including confidential submissions and testing the waters. 

From 2002 – 2009, Steve was a lecturer on corporate and securities law at the UC Berkeley School of Law, where he designed and taught the Venture Capital and IPO Law course.  He has also been a guest lecturer at Harvard Law School, Stanford Law School, the Stanford Graduate School of Business and UC Berkeley’s Haas School of Business. 

Steve has published many articles in the areas of securities law and corporate governance.  Steve was recently elected to his second term as a member of the Federal Reserve Bank of San Francisco’s Board of Directors.  He was the Co-Chair of PLI’s Annual Institute on Securities Regulation in New York from 2007 – 2011.

In 2005, Steve was appointed as a member of the Securities and Exchange Commission's Advisory Committee on Smaller Public Companies. This select committee was charged with evaluating the current securities regulatory system relating to governance, disclosure, financial reporting, internal controls, and capital formation for smaller public companies, including the impact of the Sarbanes-Oxley Act. The SEC Advisory Committee's final report was delivered to the SEC on April 23, 2006. Steve served as chairman of the Governance and Disclosure Subcommittee of the SEC Advisory Committee. Many of the Advisory Committee's recommendations have since been adopted as proposed and final rule changes by the SEC.

From 2002 to 2009, Steve was a lecturer on corporate and securities law at the UC Berkeley School of Law, where he designed and taught the "Venture Capital and IPO Law" course. He also has been a guest lecturer at Stanford Law School, the Stanford Graduate School of Business, and UC Berkeley's Haas School of Business.

David Harms advises clients on securities and corporate law matters, including capital markets transactions, SEC requirements, corporate governance and broker-dealer regulation.  He is a partner in the New York office of Sullivan & Cromwell, LLP.

Mary Jo White is a litigation partner and Senior Chair at Debevoise & Plimpton LLP, and leader of the firm’s Strategic Crisis Response and Solutions Group where she counsels boards of directors and represents clients on significant, high-profile matters, including crises involving multi-faceted government investigations and cases.   

Ms. White also has a distinguished record of public service, having just completed a nearly four-year term as Chair of the United States Securities and Exchange Commission and previously serving as the United States Attorney for the Southern District of New York, the nation’s premier U.S. Attorney’s Office, for almost nine years.

Under her leadership as SEC Chair, from 2013-2017, the Commission significantly enhanced its enforcement program and strengthened protections for investors and the markets through a range of transformative initiatives to address a wide range of  issues exposed by the financial crisis. During her tenure, the Commission initiated more than 2,850 enforcement actions and achieved record financial recoveries.

As the U.S. Attorney for the Southern District of New York from 1993 to 2002, Ms. White became the only woman to hold the top position in that office’s more than 200-year history. Ms. White oversaw major prosecutions of white collar crime, organized crime and international terrorism.  Her work in terrorism included the successful prosecutions of those responsible for the1993 World Trade Center bombing, the Day of Terror Plot, the Manila Air Plot and the prosecutions of those responsible for the 1998 East African embassy bombings in Kenya and Tanzania, which included the indictment of Osama bin Laden.

Ms. White has also gained prominence as a premiere white collar lawyer at Debevoise, where she also served as a litigation partner from 1983 to 1990, Chair of the Litigation Department from 2002-2013. Having recently returned to Debevoise, she has resumed assisting clients with their most critical matters.   

Ms. White has been recognized by the National Law Journal as one of “50 Most Influential Women Lawyers in America,” and is a recipient of numerous honors, including the Sandra Day O’Connor Award for Distinction in Public Service, the George W. Bush Award for Excellence in Counterterrorism, the Magnificent 7 Award of the Business and Professional Women/USA and the Women of Power and Influence Award from the National Organization of Women. She has also been named to the Forbes “Power Women List.”

Ms. White graduated from William & Mary, Phi Beta Kappa with a B.A. in Psychology, The New School for Social Research with an M.A. in Psychology and Columbia Law School with a J.D., where she was an officer of the Law Review.