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27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
2 Jan 2019, 6:02 am
The staff also approved certain rules submitted by Eurex. [read post]
22 Aug 2017, 9:44 am
However, the staff noted in the Securities Act Forms C&DI that its policy is to allow an issuer that is not an EGC to omit from its draft registration statements interim and annual financial information that it reasonably believes it will not be required to present separately at the time it files its registration statement publicly. [read post]
2 Nov 2016, 5:00 am
The proportion of non-government securities in taxable funds also continues to fall as prime funds trend to longer-maturity securities, the report states. [read post]
26 Jun 2019, 11:05 am
The Securities and Exchange Commission today announced that SEC Chief of Staff Lucas Moskowitz will leave the agency in early August and will return to the private sector.Mr. [read post]
12 Jul 2019, 1:05 pm
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
18 Oct 2021, 1:35 pm
The Securities and Exchange Commission today published a Staff Report on Equity and Options Market Structure Conditions in Early 2021, which focuses on the January 2021 trading activity of GameStop Corp (GME), the most famous of the "meme…Read the Full Press ReleaseHave a securities law question? [read post]
7 Sep 2012, 5:02 pm
The staff has found instances where firms have not maintained accurate and complete lists of their MFPs and non-MFP executive officers as required. [read post]
29 Jul 2011, 12:04 pm
Two other moves involving DOJ’s National Security Division, according to a division spokesman: Anita Singh, who is on detail from DOJ’s Criminal Division to the White House’s national security staff, will be Monaco’s deputy chief of staff and counsel; and Donald Vieira, who has been the division’s chief of staff since March 2009, is leaving the department for Wilson Sonsini Goodrich & Rosati. [read post]
19 May 2020, 5:54 am
The Securities and Exchange Commission today announced July 9 as the date for its staff roundtable to hear the views of investors, other market participants, regulators, and industry experts on the risks of investing in emerging markets, including…Read the Full Press ReleaseHave a securities law question? [read post]
30 Jan 2020, 5:00 am
In addition to the unusually high levels of staff turnover, President Trump instructed his fourth National Security Adviser, Robert O’Brien, to make major staff cuts at the NSC in the fall of 2019. [read post]
27 Feb 2008, 12:39 am
“A lack of Muslim and Arabic-speaking staff at a jail that detains terrorism suspects is creating a security risk because they could not understand what inmates were discussing, a government report revealed on Wednesday. [read post]
30 Sep 2011, 10:52 am
SEC staff issued a report summarizing the staff's observations and concerns arising from the examinations of ten credit rating agencies registered with the SEC as Nationally Recognized Statistical Rating Organizations ("NRSROs") and subject to Commission oversight. [read post]
17 Mar 2015, 4:31 am
The staff originally denied GE’s request for omission in December. [read post]
8 Sep 2015, 4:33 pm
These duties place nightclub security in potentially violent situations, giving security staff the opportunity to either escalate or deter violence. [read post]
5 Dec 2017, 8:41 am
Division Director Bill Hinman said at Practising Law Institute’s securities regulation conference that when Chairman Jay Clayton first asked him if the existing guidance needed to be refreshed, he did not think so. [read post]
