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27 Jan 2022, 10:33 am
By Lene Powell, J.D.SEC Chair Gary Gensler intends to move forward in 2022 with regulations on cybersecurity and climate disclosure, but it is not clear he can get rules finalized this year, a conference panel of former SEC officials agreed. [read post]
6 Nov 2021, 10:16 pm
On October 13, 2021, SEC Enforcement Director Gurbir Grewal and Deputy Enforcement Director Sanjay Wadhwa appeared at the Practicing Law Institute’s “The SEC Speaks” conference, an annual conference where Commission leaders provide updates on current initiatives and priorities of the Commission for the coming year. [read post]
18 Oct 2021, 6:35 am
Wadhwa acknowledged that it is a recurring problem where both sides encounter scheduling conflicts that invariably arise. [read post]
20 Aug 2021, 3:00 am
The SEC has announced the appointment of Sanjay Wadhwa as Deputy Director of the Division of Enforcement – effective immediately. [read post]
18 Aug 2021, 10:05 am
The Securities and Exchange Commission today announced the appointment of Sanjay Wadhwa as Deputy Director of the Division of Enforcement. [read post]
14 Aug 2021, 8:07 am
PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans) (BrokeAndBroker.com Blog)Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 (SEC Release)Sanjay Wadhwa Named Deputy Director of Enforcement Division (SEC Release)Florida Woman Convicted Of Damaging Her Former Employer’s Computers After She Was Fired (DOJ Release)SEC Charges Netflix In... [read post]
8 Sep 2020, 2:32 pm
Wadhwa added “. . . [read post]
15 Jul 2019, 7:48 am
Wadhwa. [read post]
26 Jun 2019, 2:50 pm
Wadhwa. [read post]
18 Jun 2019, 10:43 am
"In today's action, we charge that Wedbush facilitated the issuance of ADRs that were not backed by ordinary shares," said Sanjay Wadhwa, Senior Associate Director of the SEC's New York Regional Office. [read post]
14 Jun 2019, 9:16 am
Wadhwa. [read post]
28 Mar 2019, 9:01 am
The case is being supervised by Sanjay Wadhwa. [read post]
22 Mar 2019, 8:55 am
Wadhwa. [read post]
12 Mar 2019, 9:58 am
Tenreiro and Celeste Chase in New York, and is being supervised by Sanjay Wadhwa. [read post]
12 Dec 2017, 4:36 pm
John Reed Stark One of the most interesting and arresting business stories of 2017 has been the astonishing proliferation of initial coin offerings (ICOs), as I discussed in a prior post (here). [read post]
28 Sep 2017, 1:27 pm
Oliwenstein, and the case is being supervised by Sanjay Wadhwa. [read post]
6 Sep 2017, 9:41 am
The case is being supervised by Sanjay Wadhwa. [read post]
18 Aug 2017, 10:35 am
Wadhwa. [read post]
28 Sep 2016, 10:39 am
The case is being supervised by Sanjay Wadhwa. [read post]
19 Sep 2016, 7:09 am
., and was supervised by Sanjay Wadhwa. [read post]
