Search for: "SECLaw Staff"
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28 Mar 2019, 9:01 am
The SEC is seeking a judgment ordering permanent injunctive relief, disgorgement plus prejudgment interest, and civil monetary penalties against Diver.After conducting a swift investigation, the Commission staff referred Diver’s misconduct to the U.S. [read post]
28 Jun 2016, 11:22 am
The proposed rule and rule amendments also would require advisers to review the adequacy and effectiveness of their plans at least annually and to retain certain related records.In addition to the proposed rule, SEC staff issued related guidance addressing business continuity planning for registered investment companies, including the oversight of the operational capabilities of key fund service providers.The proposal will be published on the SEC’s website and in the Federal… [read post]
9 Jun 2016, 8:59 am
“The information and assistance provided by this whistleblower enabled our enforcement staff to conserve time and resources and gather strong evidence supporting our case. [read post]
5 Dec 2014, 7:08 am
The releases trumpet a filing, not a finding by a court or judge, written by the SEC Staff who is prosecuting the case, and authorized by the Commission itself, for a case that will be prosecuted by that same attorney, before an administrative law judge who was appointed by the Commission - and whose decision will be appealed to the Commission! [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]
12 Aug 2015, 11:40 am
The SEC Staff then took the curious position that it was going to move forward with the case, despite the court's decision, since the Commission itself had not made a decision.In response, today the court entered a preliminary injunction preventing the SEC from pursuing the case. [read post]
3 Feb 2016, 8:01 am
Jarcho said, “I am honored and excited to broaden my participation in OCIE’s risk-based approach to examinations and look forward to working with the entire exam staff. [read post]
21 Dec 2015, 5:00 am
We have all witnessed the problems with these long term notes - managers change, staff gets fired, offices close, desks close, divisions consolidate. [read post]
30 Apr 2019, 8:46 am
Participants will explore ways to encourage the efficient flow of capital and expand investment opportunities.The panelists will include:Cathy Connett - CEO and Managing Partner, Sofia Fund, Minneapolis, MNBob Crutchfield - Managing Director, BrightEdge Fund, Atlanta, GAHarold Hughes - Founder and CEO, Bandwagon Fan Club, Greenville, SCNic Wilson - Co-Founder and CEO, Anglr, Pittsburgh, PASEC Chairman Jay Clayton, Commissioners, and staff will participate in the event. [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]
18 Jun 2013, 8:00 am
The first series of charges were brought in 2011.The attorneys at Sallah Astarita & Cox include former SEC staff attorneys and vetran securities litigators. [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]
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]
7 Sep 2016, 9:10 am
”Ms. ten Siethoff added, “I look forward to continuing to work with the exceptional staff of the Division of Investment Management to develop rulemaking recommendations that promote a fair, efficient and effective regulatory regime for investment funds and investment advisers. [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]
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]
31 Aug 2017, 2:11 pm
"It is an enormous honor to return to the SEC to work with Chairman Clayton, Commissioners Stein and Piwowar, and the talented and hard-working staff in the Division of Investment Management and across the agency," said Ms. [read post]
30 Jan 2011, 5:51 am
The PPMs were then produced to the SEC’s examination and enforcement staff. [read post]
30 Jan 2011, 9:45 am
The PPMs were then produced to the SEC’s examination and enforcement staff. [read post]
28 Jan 2011, 3:28 pm
The PPMs were then produced to the SEC’s examination and enforcement staff. [read post]
