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17 Feb 2021, 3:01 am
The paper caught the attention of three Democratic US Senators – who used the research as a basis for this letter to Acting SEC Chair Allison Herren Lee. [read post]
16 Feb 2021, 3:16 am
Last week, Acting SEC Chair Allison Herren Lee announced that she’s restored to senior Enforcement Staff the power to approve the issuance of Formal Orders of Investigation, which designate who can issue subpoenas in an investigation. [read post]
16 Feb 2021, 3:00 am
Allison Christians (McGill) and Leandra Lederman (Indiana) have started a new YouTube series, Break Into Tax (BiT): The idea behind BiT is that we’ll discuss and break down tax-related concepts, broadly defined. [read post]
13 Feb 2021, 6:43 am
The quote is from Allison C. [read post]
12 Feb 2021, 11:24 am
., Respondents (FINRA Arbitration Award)FINRA Fines and Suspends CCO / AMLCO For Structuring (BrokeAndBroker.com Blog)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Statement of Commissioners Hester M. [read post]
11 Feb 2021, 9:03 pm
Securities and Exchange Commission (SEC) Allison Herren Lee authorized senior members of the agency’s enforcement division to issue Formal Orders of Investigation, which enable members of the division to take sworn testimony and issue subpoenas. [read post]
11 Feb 2021, 2:00 am
Dingel (University of Chicago), Allison Green (Princeton University), Jessie Handbury (University of Pennsylvania), Kevin Williams (Yale University), Measuring Movement and Social Contact with Smartphone Data: A Real-time Application to COVID-19, U. [read post]
10 Feb 2021, 1:07 pm
Acting Chair Allison Herren Lee broadened the delegation of authority to senior officers in the Division of Enforcement. [read post]
9 Feb 2021, 3:03 am
Along with those appointments, the SEC released a roster of executive staff for Acting SEC Chair Allison Herren Lee. [read post]
8 Feb 2021, 5:15 am
By: Leandra Lederman & Allison Christians We’ve started a new YouTube series we wanted to share with our readers! [read post]
7 Feb 2021, 7:12 am
” Similarly, acting SEC chair Allison Herren Lee has supported a disclosure regime that would ensure that financial institutions produce standardized disclosure of their exposure to climate risks, and it is widely expected that incoming SEC chair Gary Gensler will support ESG-related rulemaking. [read post]
5 Feb 2021, 10:33 am
California Attorney Arrested For Multimillion-Dollar Investment Fraud Scheme (DOJ Release)SEC Charges Former Minneapolis-Area Investment Adviser with Fraud for Misappropriating Client Funds (SEC Release)SEC Obtains Default Judgments Against San Diego Broker and Colorado Trust in Fraudulent Offering Scheme (SEC Release)New Jersey Woman Sentenced to 63 Months in Prison for $2 Million Bank Fraud Scheme (DOJ Release)Statement of Acting Chair Allison Herren Lee on Empowering Enforcement to… [read post]
5 Feb 2021, 10:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5687/securities-industry-commentator/SEC Suspends Trading in Inactive Issuer Touted on Social Media (SEC Release)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Amazon seller blasts the company's forced arbitration policy in congressional hearing on antitrust (CNBC by Lauren Feiner and Annie… [read post]
5 Feb 2021, 6:25 am
SEC Acting Chair Allison Herren Lee observed “Money market funds play a significant role in our short-term funding markets, and they are utilized by both large institutions and individual retail investors. [read post]
3 Feb 2021, 11:20 am
Allison Christians (McGill) (Google Scholar) presents The Rise of Cooperative Surplus Taxation (with Tarcisio Diniz Magalhaes (McGill)) virtually at Toronto today as part of its James Hausman Tax Law and Policy Workshop Series: The world’s tax policy leaders are currently engaged in debate over who should tax the income streams... [read post]
3 Feb 2021, 4:15 am
But this is outrageous + toxic in nearly any imaginable frame. https://t.co/2cVWuL4AFZ — Kmele (@kmele) February 3, 2021 Allison Collins is a member of the San Francisco Board of Education, the one that removed the names of Washington and Lincoln, plus 42 others, from their schools because they were problematic. [read post]
2 Feb 2021, 6:18 pm
From the announcement: Satyam Khanna will serve as Senior Policy Advisor for Climate and ESG in the office of Acting Chair Allison Herren Lee. [read post]
2 Feb 2021, 12:52 pm
The post Acting Chair Allison Herren Lee Announces Executive Staff appeared first on SECLaw.com.https://bit.ly/3pHSgn9 [read post]
2 Feb 2021, 12:25 pm
Allison Siegel was named new chief operating officer of Culta, a craft quality producer of cannabis flower and cannabis extracts. [read post]
2 Feb 2021, 7:51 am
In addition, Satyam Khanna will serve as Senior Policy Advisor for Climate and ESG in the office of Acting Chair Allison Herren Lee. [read post]
