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16 Feb 2024, 7:15 am
The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report to Congress today on Nationally Recognized Statistical Rating Organizations (NRSROs), commonly known as credit rating agencies, to provide findings…Read the Full Press Release Have a securities law question? [read post]
15 May 2024, 9:55 am
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. [read post]
9 Aug 2021, 3:26 pm
We asked court staff to search for a copy of the 1979 opinion, and they were successful in locating a copy. [read post]
1 Jul 2019, 3:03 am
I say “forced” because the Staff is forced to say it. [read post]
21 Jun 2011, 2:50 am
Over the last couple of years, the Staff of the Commission's Division of Risk, Strategy and Financial Innovation (Risk Fin) has completed reviews of interactive data financial statement submissions and has published general observations about those reviews. [read post]
22 Apr 2017, 8:21 am
A family in Illinois has filed a wrongful death lawsuit against a nursing home, alleging staff at the center misread her chart and failed to resuscitate her after she was found unconscious. [read post]
17 Mar 2016, 6:47 am
Bureau staff did note at the end of the last presentation that they have received many questions that were not addressed during the webinar, and those questions would impact future presentations. [read post]
9 Jul 2024, 3:15 am
The Division staff will review selected beneficial ownership reports to assess compliance with the new, shortened filing deadlines and issue comments as necessary to improve required disclosures. [read post]
9 Mar 2018, 5:37 am
In the recent past, the SEC staff has rarely granted no-action relief to permit a company to exclude a proposal under this exemption. [read post]
15 Feb 2012, 1:21 pm
Many states are however moving to increase the penalties for crimes committed against court staff in the course of their duties. [read post]
11 Aug 2022, 11:38 am
Patrice French has been appointed the Staff Ombuds at TAMU's College of Education and Human Development. [read post]
15 Jun 2011, 6:07 am
Of those, about half (57%) the time staff counsel for claims “reported structurally through the chief claims... [read post]
17 Feb 2011, 7:26 am
’’ The staff also indicated that the vote on say-on-pay frequency, as required by Rule 14a-21, does not have to be in the form of a resolution. [read post]
19 Oct 2021, 6:27 am
Roisman and do not necessarily reflect those of the Securities and Exchange Commission or its staff. [read post]
13 Oct 2014, 4:07 am
As noted in this blog by Steve Quinlivan, the SEC Staff announced two items last week that will make it harder to sell unregistered securities. [read post]
15 Dec 2022, 8:33 am
[December 13, 2022] The staff's position seems to be nonsensical - if there is "extensive, detailed disclosure" how could investors possibly be misled? [read post]
8 Apr 2011, 1:04 pm
Of the 1,323 full-time staff employed in the D.C. courts system, D.C. [read post]
21 Apr 2015, 7:12 pm
Given that, OCIE and FINRA staff are keenly focused on issues related to senior investors and regard compliance with laws, rules, and regulations applicable to senior investors to be a high regulatory priority. [read post]
30 Mar 2021, 12:19 pm
The staff also observed that weak policies or implementation led to firms’ ultimate failure to file SARs. [read post]
8 Jul 2024, 11:00 am
Staff members, including Mr. [read post]
