Search for: "SECLaw Staff"
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9 Jul 2019, 8:06 am
On behalf of all of my colleagues, Commissioners and staff alike, I am pleased to welcome her back. [read post]
3 Jul 2019, 8:05 am
Teotia will serve as the principal advisor to the Commission on accounting and auditing matters, and will lead the 45 dedicated staff in the Commission’s Office of the Chief Accountant. [read post]
27 Jun 2019, 9:20 am
The order recognizes that State Street self-reported its conduct to the Commission and that it provided substantial cooperation to the Commission staff during the investigation.The SEC's investigation was conducted by Michael Moran, Eric Forni, Jonathan Allen, and Amy Gwiazda of the Boston Regional Office, as well as Ruth Anne Heselbarth, formerly of the Boston Regional Office.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA… [read post]
26 Jun 2019, 1:06 pm
The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office.Chairman Clayton's executive staff is responsible for advising the Chairman on all matters before the Commission, working closely with agency staff, and helping the Chairman perform all day-to-day operations needed to fulfill the SEC's mission. [read post]
SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
26 Jun 2019, 12:50 pm
Pandol will advise the Chairman, Commissioners, and SEC staff on legislative matters, provide technical assistance on securities-related legislation to congressional committees and staff, assist in preparing SEC testimony for congressional hearings, and coordinate with other government entities. [read post]
26 Jun 2019, 11:05 am
He was named Chief of Staff by Chairman Jay Clayton in May 2017.As Chief of Staff, Mr. [read post]
26 Jun 2019, 11:05 am
Memon has served as the SEC’s Deputy Chief of Staff since May 2017. [read post]
26 Jun 2019, 11:05 am
I am honored by the opportunity and excited to continue serving with Chairman Clayton, the Commissioners and the talented staff to advance the SEC’s important mission. [read post]
24 Jun 2019, 9:13 am
Office staff, among other things, review all documents submitted to the Commission, track documents submitted to the Commission, schedule Commission meetings in accordance with the Government in the Sunshine Act, maintain records of official Commission actions, and provide public notice of those actions on the SEC.gov website and in the Federal Register. [read post]
21 Jun 2019, 7:40 am
Throughout the process, our two staffs have drawn on one another’s experiences, expertise, and insights in an effort to build effective rules. [read post]
19 Jun 2019, 3:43 pm
Senior SEC staff are expected to join the Chairman at this event.Later that evening, Chairman Clayton will discuss the package of rules and interpretations adopted by the Commission on June 5, which were designed to enhance and clarify the standards of conduct applicable to broker-dealers and investment advisers, help retail investors better understand and compare the services offered and make an informed choice of the relationship best suited to their needs and circumstances, and… [read post]
SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
18 Jun 2019, 10:13 am
“This rulemaking reflects the staff’s extensive experience and judgment, and I thank them for their continued commitment to retrospective review,” said SEC Chairman Jay Clayton. [read post]
18 Jun 2019, 9:09 am
It also considers, among other things, whether: The limitations on who can invest in certain exempt offerings, or the amount they can invest, provide an appropriate level of investor protection or pose an undue obstacle to capital formation or investor access to investment opportunitiesThe Commission should take steps to facilitate a company’s ability to transition from one offering to another or to a registered offeringThe Commission should expand companies’ ability to… [read post]
SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
17 Jun 2019, 12:23 pm
Glazer said, "I am happy to return to the Division of Investment Management and to work with Dalia Blass and the Division's dedicated staff. [read post]
10 Jun 2019, 11:42 am
The latest additions are firms that SEC staff found were providing inaccurate information about their affiliation, location, or registration. [read post]
6 Jun 2019, 1:44 pm
”Prior to joining the SEC’s Division of Enforcement as a staff attorney in April 2000, Mr. [read post]
5 Jun 2019, 12:59 pm
“Today’s filings reflect the work of a dedicated SEC staff who, after moving swiftly on behalf of investors to freeze assets last year, continued investigating to uncover the alleged fraud. [read post]
5 Jun 2019, 9:29 am
The interpretation reflects how the Commission and its staff have applied and enforced the law in this area, and inspected for compliance, for decades. [read post]
3 Jun 2019, 10:51 am
It is a privilege to get to continue to work alongside the terrific OMS staff to ensure that the municipal securities market operates fairly, efficiently, and consistently with the long-term interests of Main Street investors. [read post]
3 Jun 2019, 9:41 am
I look forward to working with him, the SEC staff, and our fellow financial regulators to continue to counter the cyber threat and increase the SEC's security and resiliency posture,” said Mr. [read post]
