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5 Mar 2014, 1:31 pm
Below is a note the SEC sent out to all registered investment advisers regarding the custody issue. [read post]
23 Aug 2016, 6:17 am
The result instead was a pair of administrative orders (on a neither admit nor deny basis) finding that each company violated SEC Rule 21F-17, which prohibits any person from taking any action to impede a whistleblower from communicating with the SEC about possible securities law violations. [read post]
15 Mar 2023, 7:19 am
SEC ALJs can only be removed by the SEC Commissioners if the Merits System Protection Board finds good cause, and SEC Commissioners and MSPB members can only be removed by the President for cause. [read post]
17 Oct 2015, 5:01 pm
UIUC law professor Suja Thomas and SEC fan Mark Cuban have an article in the NY Times on the problem of the SEC employing judges who pass on cases brought by SEC enforcement lawyers: After losing... [[ This is a content summary only. [read post]
13 Oct 2023, 3:00 am
SEC Enforcement has almost 1,500 staffers and about 1,500 open investigations at any given time across the country. [read post]
29 Sep 2009, 5:00 am
The SEC did not cause the current financial crisis. [read post]
30 Aug 2021, 8:34 am
Hiring experienced SEC counsel will greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
22 Dec 2023, 9:42 am
Each of the claimants provided information that significantly contributed to an SEC investigation. [read post]
22 Jun 2009, 6:59 am
SEC Chair Presents Plan for Regulation of OTC Derivatives to CongressAgainst the backdrop of the Obama Administration's call for federal regulation of the OTC derivatives markets, SEC Chair Mary Schapiro has asked Congress to pass legislation subjecting securities-related OTC derivatives to the federal securities laws and Commission regulation. [read post]
19 Jan 2023, 1:34 pm
” Read the SEC press release here. [read post]
7 Sep 2017, 6:00 am
The SEC believes that lawyers have a special duty to protect and police the securities markets, and, when a lawyer fails, the SEC is right there to pounce. [read post]
7 Sep 2017, 6:00 am
The SEC believes that lawyers have a special duty to protect and police the securities markets, and, when a lawyer fails, the SEC is right there to pounce. [read post]
28 Feb 2013, 11:00 am
The Dodd-Frank Act was the impetus for the SEC’s whistleblower program, and the SEC received over 3,000 tips in a year. [read post]
15 Nov 2021, 1:30 pm
” Read: SEC Whistleblower Program Annual Report to Congress for the 2021 Fiscal Year More SEC whistleblower news on WNN The post SEC Whistleblower Program Shattered Several Records in FY2021 appeared first on Whistleblower Network News. [read post]
21 Oct 2007, 9:00 am
Then give each participant a copy of the SEC staff report so that they see SEC concerns about missing analysis. [read post]
9 Jun 2020, 1:26 pm
The SEC’s latest attack on 12b-1 is a classic example of rule-making by enforcement. [read post]
13 Aug 2013, 4:21 am
What is the Process for Selecting SEC Commissioners? [read post]
19 Apr 2010, 7:39 am
In February 2009, immediately after the SEC sued Stanford, this same former head of Enforcement in Fort Worth contacted the SEC Ethics Office a third time about representing Stanford in connection with the SEC matter – this time to defend Stanford against the lawsuit filed by the SEC. [read post]
30 Aug 2012, 12:25 pm
The SEC posted on its website a SEC Staff Study Regarding Financial Literacy Among Investors, which was mandated by Dodd-Frank section 917.( Download 917-financial-literacy-study-part1[1]) As described in the SEC's press release, the study draws on numerous sources, including online survey... [read post]
23 Jul 2007, 8:58 am
SEC Market Reg Director Outlines Impact of CSE ProgramThe Director of Market Regulation Erik Sirri provided a detailed and rare snapshot of how the SEC's consolidated supervised entity (CSE) program interacts with and impacts hedge funds in testimony before the House Financial Services Committee. [read post]
