Search for: "John A. Atwood"
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22 Aug 2017, 9:44 am
By John Filar Atwood An emerging growth company (EGC) may omit from its draft registration statements interim financial information that it reasonably believes it will not be required to present separately at the time of the contemplated offering, according to the staff of the Division of Corporation Finance. [read post]
4 Mar 2016, 5:00 am
By John Filar Atwood The increased frequency and sophistication of cyber attacks is one of the primary systemic risks facing the world’s markets in 2016, according to the International Organization of Securities Commissions (IOSCO). [read post]
17 Dec 2018, 5:00 am
By John Filar Atwood In the upcoming filings season, staff of the SEC’s Division of Corporation Finance intends to focus on reviewing disclosure surrounding Brexit, the LIBOR transition, and cybersecurity, according to the Division’s chief accountant Kyle Moffatt. [read post]
9 Jan 2024, 3:46 pm
John Scalzi’s Fuzzy Nation Isaac Asimov’s I, Robot Margaret Atwood’s The Handmaid’s Tale Ray Bradbury’s Fahrenheit 451 Octavia E. [read post]
25 Jan 2022, 1:09 pm
Federal Bureau of Investigation agents arrested him at John F. [read post]
16 Jun 2015, 5:35 am
Sources: SEC Announces Award to Whistleblower in First Retaliation Case SEC order against Paradigm Capital and Candace Weir King SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower $600,000 to Man in Whistleblower Retaliation Case by Joe Mont in Compliance Week SEC Awards Maximum Payout in First Whistleblower Retaliation Case by John Filar Atwood in Jim Hamilton’s World of Securities Regulation Whistleblower Mistakes by… [read post]
21 Oct 2010, 8:39 am
The case should bolster efforts to abolish the death penalty in the U.S., Atwood believes. [read post]
2 Oct 2013, 12:34 pm
Naponelli was sentenced to 24 months; Atwood, to 15 months in prison on charges of bank fraud (Naponelli) and wire fraud (Atwood). [read post]
8 Dec 2006, 6:41 am
McEwan's supporters include Thomas Pynchon, John Updike, Martin Amis, Thomas Keneally, Zadie Smith and Margaret Atwood. [read post]
1 Dec 2010, 1:25 pm
I'll have you know that we are the country of Margaret Atwood, Ryan Reynolds, and Alex Lifeson. [read post]
21 Oct 2008, 1:37 pm
John McCain is remembered as a passionate contrarian who won the hearts of his classmates at the Naval Academy. [read post]
16 Nov 2018, 4:34 am
By John Filar Atwood The SEC’s Division of Enforcement has tried to take a measured approach to enforcement in the crypto asset space in order to address violations without stifling innovation, according to co-directors Stephanie Avakian and Steven Peikin. [read post]
26 Sep 2014, 7:11 pm
[This story previously appeared in Securities Regulation Daily.]By John Filar Atwood A working group led by the Securities Transfer Association (STA) has taken a number of steps to improve the proxy voting process, but said that the overly complex system needs substantive reforms from the SEC to make it more transparent and to ensure more accuracy in the vote count. [read post]
12 Sep 2019, 7:00 am
By John Filar Atwood The rapid growth of private markets and the decline in IPOs over the past few decades have given rise to a number of legislative proposals aimed at improving investment opportunities for retail investors. [read post]
3 Oct 2019, 5:00 am
By John Filar Atwood Although the PCAOB is not subject to federal transparency laws such as the Sunshine Act, the Freedom of Information Act, and the Administrative Procedure Act, Board Member J. [read post]
14 Feb 2019, 6:46 am
By John Filar Atwood IOSCO issued a report that found that implementation of its five secondary and other market principles is high across most member jurisdictions, but lags in new and emerging markets. [read post]
7 May 2018, 5:00 am
By John Filar Atwood SEC Chief Accountant Wesley Bricker praised the largest audit firms for voluntarily providing audit quality reports to communicate how they perform individual audits, how they run their businesses, and how they think about the role and relevance of the audit profession. [read post]
11 Jun 2018, 5:00 am
By John Filar Atwood Bill Hinman, director of the SEC’s Division of Corporation Finance, said the staff is looking closely at companies’ risk disclosure surrounding cybersecurity in this year’s filings following the update to the SEC’s cyber guidance that was issued in February. [read post]
14 Nov 2018, 7:36 am
By John Filar Atwood The staff of the Division of Corporation Finance is working on plain English guidance on tokens and other digital assets, and expects it to be released later this year or early in 2019, according to division director William Hinman. [read post]
15 May 2020, 5:00 pm
By John Filar Atwood In an update on the SEC’s actions and observations since the onset of the COVID-19 crisis, SEC Chairman Jay Clayton said that clearing agencies, exchanges, ATSs, securities information processors and other key pieces of the securities markets have functioned as designed. [read post]
