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30 Jul 2010, 2:48 pm
The SEC staff advised that, when determining net worth for purposes of Securities Act Rules 215 and 501(a)(5), the value of the person’s primary residence must be excluded. [read post]
23 Aug 2011, 8:55 am
Nelson, CCH Federal Securities Writer Analyst, Wolters Kluwer Incorporated. [read post]
7 Aug 2009, 12:40 pm
Staff of the Canadian Securities Administrators (CSA Staff) today published CSA Staff Notice 31-312 (the Staff Notice), which summarizes the key requirements and transition process for the new exempt market dealer (EMD) registration category under National Instrument 31-103 Registration Requirements and Exemptions (NI 31-103). [read post]
19 Nov 2007, 11:38 pm
Source: Forum for Incident Response and Security Teams [read post]
27 Sep 2021, 4:20 am
On Friday, the Staff of the SEC’s Division of Trading and Markets issued a no-action letter to FINRA stating that the Staff would not recommend enforcement action until January 3, 2022 for quotations published by broker-dealers for fixed income securities in order to “allow for an orderly and good faith transition into compliance with the Amended Rule. [read post]
9 Jan 2021, 2:31 pm
While some experts defended their actions as prioritizing the protection of lawmakers over the securing of the building, many congressional staff members, along with custodial and food service workers, were left wondering whether they were safe.... [read post]
25 Nov 2018, 9:00 pm
On November 19, the Nuclear Regulatory Commission (NRC) Commissioners approved the Staff’s proposed rulemaking plan for expanding physical security licensing options for advanced reactors. [read post]
24 Nov 2020, 8:50 am
On October 29, 2020, the Canadian Securities Administrators (CSA) issued Multilateral Staff Notice 51-361, which summarizes the key findings and […] [read post]
12 Jun 2020, 1:27 pm
On June 4, 2020, the Canadian Securities Administrators (the “CSA”) published CSA Staff Notice 43-311 – Review of Mineral Resource […] [read post]
4 Nov 2022, 8:16 am
On November 3, 2022, the Canadian Securities Administrators (CSA) published CSA Staff Notice 51-364 Continuous Disclosure Review Program Activities for the […] [read post]
19 Aug 2014, 2:05 pm
[This story previously appeared in Securities Regulation Daily.]By Amy Leisinger, J.D.The staff of the SEC’s Division of Investment Management has issued its second annual report relating to the use of data collected from private fund advisers on Form PF. [read post]
18 Feb 2015, 6:13 am
The security protocols for visitors at capitol entrances, to me, seem cowardly, wasteful and, increasingly, impractical. [read post]
31 Mar 2018, 10:23 am
Last year, reductions in SSA staff levels resulted in an average 627-day wait for hearings on Social Security Disability Insurance application hearings. [read post]
31 Mar 2018, 10:23 am
Last year, reductions in SSA staff levels resulted in an average 627-day wait for hearings on Social Security Disability Insurance application hearings. [read post]
3 Nov 2022, 6:30 am
The views expressed in this post are those of Chair Gensler, and do not necessarily reflect those of the Securities and Exchange Commission or the Staff. [read post]
15 Aug 2016, 10:40 am
Let’s not staff the commission and write the report years after the infamous “election of 2016. [read post]
23 Aug 2012, 11:41 am
There will be no money market fund reform anytime soon, as SEC Chairman Schapiro released this statement yesterday: Three Commissioners, constituting a majority of the Commission, have informed me that they will not support a staff proposal to reform the... [read post]
25 Mar 2010, 3:15 pm
The SEC staff is conducting a review to evaluate the use of derivatives by mutual funds, exchange-traded funds (ETFs) and other investment companies. [read post]
4 Apr 2019, 2:00 am
Yesterday, Corp Fin Director Bill Hinman & Senior Advisor for Digital Assets Valerie Szczepanik issued a statement announcing new Staff guidance on when tokens & other digital assets will be regarded as “securities” subject to SEC regulation. [read post]
29 Jan 2015, 1:17 pm
In the Staff Report, the FTC referenced the various potential security risks that IoT products present. [read post]
