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28 Dec 2018, 7:55 am
By Amanda Maine, J.D. [read post]
8 Aug 2018, 5:00 am
By Amanda Maine, J.D.The Investment Adviser Association (IAA), in a comment letter to the SEC, raised a number of concerns with the Commission’s package of proposals regarding the standards of conduct for broker-dealers and investment advisers. [read post]
6 Nov 2014, 11:11 am
For Pasco jail inmate Amanda Gould, it was another day, another violation of probation. [read post]
24 Jul 2019, 10:04 am
By Amanda Maine, J.D. [read post]
16 Sep 2020, 7:21 am
By Amanda Maine, J.D.Speaking at the AICPA’s 2020 National Conference on Banks & Savings Institutions, SEC Chief Accountant Sagar Teotia and Deputy Chief Accountant John Vanosdall discussed recent trends and initiatives in the SEC’s Office of the Chief Accountant (OCA). [read post]
3 Jun 2015, 6:02 am
By Amanda Maine, J.D.SEC Commissioner Michael S. [read post]
19 Mar 2018, 5:48 am
By Amanda Maine, J.D.SEC Commissioner Hester Peirce addressed a number of issues facing the Commission in a conversation with Karen L. [read post]
2 May 2018, 6:03 am
MORE: From the indefatigable Keri Blakinger.Transcript: Segment on Juan Castillo capital murder case from the April 2018 Reasonably Suspicious podcast, co-hosted by Scott Henson and Amanda Marzullo.Scott Henson: Next up in our Death and Texas segment on capital punishment. [read post]
17 Sep 2015, 5:35 am
By Amanda Maine, J.D.Businessman Mark Cuban, calling himself a “first-hand witness to and victim of SEC overreach,” has filed an amicus brief in the Eleventh Circuit urging it uphold an injunction of an SEC administrative proceeding against Charles H. [read post]
10 Mar 2013, 6:17 am
Amanda Green. [read post]
29 Sep 2013, 6:06 am
Pulse: 71% say autumn is about the right length.Week ahead: retrial for Amanda Knox; Tuesday: open enrollment for health care. [read post]
28 Mar 2018, 5:00 am
By Amanda Maine, J.D.The Government Accountability Office has issued a report analyzing the steps the SEC has taken to clarify disclosure requirements on climate-related risks. [read post]
1 Jun 2018, 9:32 am
By Amanda Maine, J.D. [read post]
7 May 2021, 8:53 am
By Amanda Maine, J.D.Auditing firms continue to use technology-based auditing tools even in the absence of specific auditing standards related to the use of these tools, according to a new Spotlight issued by the PCAOB. [read post]
5 Sep 2018, 10:10 am
By Amanda Maine, J.D.An SEC administrative law judge (ALJ) rejected an application for recovery of legal fees and expenses from two firms who had prevailed against the SEC’s Division of Enforcement last year and successfully had proceedings against them dismissed. [read post]
19 Jan 2021, 7:20 am
By Amanda Maine, J.D.A new report issued by business intelligence provider HFM and the Alternative Investment Management Association (AIMA) revealed that over 90 percent of hedge fund investors were satisfied with their investments in 2020. [read post]
22 May 2013, 6:34 am
At this time, Castro has only been charged with three (3) counts of Rape and four (4) counts of Kidnapping involving the victims Amanda Berry, Gina DeJesus, and Michelle Knight. [read post]
5 Jul 2019, 7:44 am
By Amanda Maine, J.D. [read post]
23 Oct 2019, 8:18 am
By Amanda Maine, J.D.Top officials in the PCAOB’s Division of Registration and Inspections recently addressed ALI-CLE’s 2019 Accountants’ Liability Conference in Washington, D.C. [read post]
3 Dec 2014, 3:33 pm
[This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.The SEC granted a waiver of disqualification from Regulation D’s “bad actor” provision to entities associated with Bank of America. [read post]
