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16 May 2019, 10:03 am
Additionally, the SEC may provide information to other agencies for their own separate federal, state, local or foreign administrative, civil or criminal proceedings. [read post]
24 Oct 2013, 5:03 am
Kill me now." [read post]
30 Mar 2015, 4:25 am
The city comptroller released a proposal that would require a financial advisor to clearly state whether he or she must act in the investor’s best interests. [read post]
15 Jan 2019, 3:00 am
This time, the SEC’s rule is facing challenges from the “Kill the Administrative State! [read post]
1 Jun 2023, 4:30 am
When I first began speaking at conferences as an SEC employee back in the 1990s, it was ingrained in me that, before making any remarks, I must first give the “standard disclaimer,” or else some terrible consequences would be visited upon me. [read post]
3 Feb 2023, 9:16 am
” The SEC’s order further clarifies that Activision’s separation agreements undermined the purpose of Rule 21F-17 despite containing language which stated “‘Nothing in this Release prevents me from . . . giving truthful testimony, or truthfully responding to a valid subpoena, or communicating or filing a charge with government or regulatory entities (such as the Equal Employment Opportunity Commission, National Labor Relations Board,… [read post]
17 Feb 2010, 8:00 am
As Professor Hamermesh mentioned in the press release from Widener announcing the appointment: “This is a significant step not just for me, but for both the SEC and the State of Delaware in particular. [read post]
25 Sep 2013, 4:25 am
Mike Piwowar was sworn in as an SEC Commissioner by the SEC's Los Angeles Regional Office Director - and a few members asked me who had the authority to swear a Commissioner in? [read post]
5 Jan 2014, 9:49 am
Senators have written to SEC Chair Mary Jo White urging the SEC to require issuers to first submit a Form D filing when public solicitation and advertising are used. [read post]
27 Jul 2021, 12:35 pm
Of course you can always contact me, Joe Rosenbaum, or the Rimon Law lawyer with whom you regularly work. [read post]
19 Mar 2014, 6:39 am
Looking back at remarks made by former Chairs at this event, the expectation seems to be for me to talk about the “State of the SEC. [read post]
23 Apr 2010, 2:23 pm
That seems disturbing to me. [read post]
3 Apr 2024, 9:03 pm
Let me start by reminding you that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission (“SEC”) or my fellow Commissioners. [read post]
17 Apr 2009, 10:03 am
One thing that immediately jumped out at me is that it is 90 pages long and that 6 attorneys for the SEC are listed on the cover of the brief. [read post]
23 Feb 2024, 4:00 am
However, mutual funds that concentrate investments in a particular sector, industry, business, state, or country other than the United States remain subject to the rules. [read post]
23 Jul 2007, 5:06 am
I mentioned it as an aside about a month ago: the SEC built a web-based tool to let investors find the companies that do business with countries that the State Department has designated as sponsors of terrorism. [read post]
19 Aug 2010, 9:07 am
As a result, investors were not provided adequate information to evaluate the state's ability to fund the pensions or assess their impact on the state's financial condition....New Jersey is a special state in many ways, but my gut instincts tell me this SEC action is just the vanguard of a coming wave of state and municipal securities litigation. [read post]
17 Dec 2013, 4:05 am
Yesterday, the SEC surprised me with this Sunshine Act notice stating that Regulation A+ will be voted upon at an open Commission meeting tomorrow. [read post]
11 Aug 2015, 12:12 pm
SEC Chair Mary Jo White stated that “the Commission adopted a carefully calibrated pay ratio disclosure rule that carries out a statutory mandate,” and that “the rule provides companies with substantial flexibility in determining the pay ratio, while remaining true to the statutory requirements. [read post]
7 Apr 2015, 9:31 am
The amended confidentiality statement states: "Nothing in this Confidentiality Statement prohibits me from reporting possible violations of federal law or regulation to any governmental agency or entity, including but not limited to the Department of Justice, the Securities and Exchange Commission, the Congress, and any agency Inspector General, or making other disclosures that are protected under the whistleblower provisions of federal law or regulation. [read post]
