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18 Jul 2023, 3:30 am
As usual, the Staff provides an explanation and a series of sample comments. [read post]
28 Dec 2015, 8:18 am
The Securities and Exchange Commission today issued its two annual staff reports on credit rating agencies registered as nationally recognized statistical rating organizations (NRSROs). [read post]
29 Aug 2014, 6:00 am
The views expressed in this post are those of Chair White and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
17 Jun 2019, 9:00 pm
Staff members from the US Nuclear Regulatory Commission’s (NRC’s) Office of Nuclear Security and Incident Response and Office of Nuclear Reactor Regulation held a public meeting on June 17 to discuss a summary of the Assessment of the NRC’s Power Reactor Cyber Security Program. [read post]
1 Nov 2011, 3:00 am
Securities and Exchange Commission ("SEC") recently ordered all of its enforcement staff attorneys to cease the destruction of documents from investigative files after criticism that the SEC wrongfully destroyed thousands of documents associated with high profile enforcement matters, including investigations into Wall Street banks. [read post]
28 Jan 2015, 8:47 am
” To assist companies with implementing appropriate security procedures, the FTC staff released a guide for businesses called Careful Connections: Building Security in the Internet of Things. [read post]
24 Aug 2010, 4:47 am
I am happy to have the Social Security staff as new neighbors. [read post]
11 Mar 2012, 6:23 am
Lewis has hired additional staff in an attempt to ensure clients receive detailed and thoughtful processing of their Social Security disability appeals. [read post]
23 Mar 2011, 6:24 am
Its author goes on to speculate about various potential causes such as increased security and support staff for judges. [read post]
21 Apr 2014, 2:23 pm
We will continue to track related developments, including any reports that may be issued by the FTC or the FTC staff. [read post]
Corp Fin Staff Release New Guidance on Shareholder Proposals related to Risk and Succession Planning
3 Nov 2009, 12:34 pm
The Division of Corporation Finance staff recently issued Shareholder Proposals, Staff Legal Bulletin No. 14E (CF), providing information regarding staff changes of position on two issues: the application of Rule 14a-8(i)(7) to proposals relating to risk; and the application of... [read post]
27 Jul 2021, 8:53 am
The update follows an examination initiative focusing on SEC-registered investment advisers that engaged in cross trades or principal trades (or both) involving fixed-income securities. [read post]
14 Dec 2015, 7:31 am
Retention Make sure information regarding previous names and trans status is stored and treated in a secure manner. [read post]
7 May 2023, 8:53 am
On December 8, 2022, the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) jointly issued Staff Notice 23-329 – Short Selling in Canada (the Notice). [read post]
4 Aug 2011, 10:40 am
On July 27, 2011, the Staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations published a report entitled “Staff Summary Report on Issues Identified in Examinations of Certain Structured Securities Products Sold to Retail Investors. [read post]
7 May 2011, 4:21 am
Even if employers don’t plan to make redundancies in the short term, they will benefit by addressing low staff morale and engendering a sense of job security wherever possible because the poll also found that the percentage of staff looking for a new job also increased from 19 to 24 per cent overall. [read post]
28 Jul 2011, 6:35 am
Lewis and his staff take great pride in assisting disability claimants with their Social Security disability claim. [read post]
26 Aug 2011, 10:23 am
According to OSC Staff, an ETF's exchange listing functions are "the primary distribution channel through which an ETF issues its securities to investors and increases its net assets". [read post]
30 Dec 2021, 11:00 am
The Securities and Exchange Commission today announced the appointments of Corey Frayer, Phil Havenstein, Jennifer Songer, and Jorge Tenreiro to Chair Gary Gensler’s executive staff. [read post]
1 May 2015, 10:32 am
Recently, the Staff of the Division of Investment Management of the Securities and Exchange Commission (the “Staff”) issued updated Guidance that highlights the importance of cybersecurity of registered investment funds and registered investment advisers. [read post]
