Search for: "SECLaw Staff"
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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]
18 Mar 2011, 6:20 am
On more than one occasion I have been able to demonstrate to the Staff that my client was an active trader, and that he simply made the correct trade at the correct time, or that he had been following the stock and purchased it when he did because of various public information that he obtained, and could demonstrate that he had at the time of the purchase.If there is any doubt about what I am saying, all one needs to do is to search the SEC press releases for the term "insider trading. [read post]
31 Jul 2012, 1:45 pm
When represented by counsel, FINRA respondents were successful almost 20% of the time.Nearly 1/3 of the time, the administrative law judge (ALJ) or the Hearing Panel imposed lower monetary sanctions than the SEC or FINRA prosecutors sought.In FINRA hearings, 50% of the time Hearing Panels imposed shorter suspensions and 33% of the time Hearing Panels imposed lower monetary sanctions than those sought by FINRA staff. [read post]
13 Jul 2016, 10:12 am
The Commission staff consulted with the staff of the CFTC during this rulemaking. [read post]
3 May 2019, 6:57 am
“The staff’s work on the proposed rule amendments reflects years of experience. [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]
23 Dec 2011, 6:00 am
The employee also falsified financial statements filed with the SEC and other regulators, as well as materials that were prepared to deceive SEC staff examiners, federal and state tax auditors, and other external reviewers. [read post]
26 Oct 2009, 7:50 am
If you staff the branch properly, a BOM can service his own clients while running a branch. [read post]
28 Sep 2016, 11:44 am
In developing these rules, the Commission staff consulted with the Financial Stability Oversight Council (FSOC), the Commodity Futures Trading Commission (CFTC), the Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation (FDIC). [read post]
26 Sep 2019, 11:30 pm
The firm has 700 staff and offices in Boston, Chicago, London, Los Angeles, New York, San Francisco, Silicon Valley, and Washington. [read post]
14 Jan 2016, 11:12 am
“SEC exams ensure that market participants are following the rules, so there will be consequences, including in the determination of remedies, when a registrant fails to provide complete and clear responses to examination staff,” said Andrew M. [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]
18 Dec 2013, 6:18 am
We are proud of the terrific results achieved by our hardworking and committed staff and pleased with the strong and robust pipeline of investigations they've developed for the year ahead." [read post]
15 Sep 2017, 11:51 am
Joseph has led a team of over 130 accountants, examiners, attorneys, and support staff responsible for the examination of investment companies and investment advisers in New York and New Jersey. [read post]
3 Jun 2016, 7:32 am
Cohen has overseen a staff of nearly 60 attorneys and other professionals responsible for investigating potential violations of the federal securities laws by a wide range of market participants. [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]
13 Oct 2015, 1:37 pm
In determining to accept the offer, the SEC considered UBS’s substantial cooperation afforded its staff and certain remedial measures UBS implemented voluntarily.Investors who have been harmed by this conduct, will need to pursue their claims with their own counsel. [read post]
7 Jan 2015, 8:00 am
FINRA devotes substantial attention to brokers that it's staff members believe pose greater risk to the investing public. [read post]
15 Dec 2011, 6:05 am
Its executives talk a good game, but they are terrible at getting their message down to the staff, who still, in far too many instances, treat brokers and firms as if they are criminals, conducting exams with a "gotcha! [read post]
