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6 Dec 2011, 10:57 am
” Risk AlertRegulatory NoticeSEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office InspectionsSEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections [read post]
1 Jul 2020, 4:09 pm
The Securities and Exchange Commission today announced the agenda and panelists for the July 9, 2020 staff roundtable on investing in emerging markets, including China. [read post]
2 Aug 2016, 7:32 am
Treasury market, including a number of steps that are consistent with the recommendations of the Joint Staff Report. [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]
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]
4 Nov 2019, 12:01 pm
The Securities and Exchange Commission today announced that SEC Chairman Jay Clayton, Public Company Accounting Oversight Board (PCAOB) Chairman William Duhnke, and members of the SEC staff met last week with senior representatives of the four largest…Read the Full Press ReleaseHave a securities law question? [read post]
12 Jul 2019, 12:50 pm
Entities and investment professionals affected by Tropical Storm Barry are encouraged to contact Commission staff with questions and concerns:Office of Compliance Inspections and Examinations staff in the Commission's Miami Regional Office can be reached by phone at 305-982-6300 or email at miami@sec.govOffice of Compliance Inspections and Examinations staff in the Commission's Atlanta Regional Office can be reached by phone at 404-842-7600 or email… [read post]
24 Sep 2019, 5:11 am
The notice references, in broad-strokes, the violation that the Staff believes has occurred. [read post]
16 Aug 2014, 7:44 am
The notice references, in broad-strokes, the violation that the Staff believes has occurred. [read post]
1 Oct 2019, 6:39 am
SEC staff will also…Read the Full Press ReleaseWant to talk to a securities lawyer? [read post]
20 Nov 2020, 7:29 am
The SEC confirmed the award in an order, findingwe positively assessed the following facts: (i) Claimant provided significant and timely information that resulted in the significant expansion of the staff’s investigation and resulting Commission charges; (ii) Claimant assisted in the staff’s investigation by submitting additional information that helped expedite the investigation; and (iii) there are important law enforcement interests here in that Claimant identified… [read post]
30 Sep 2020, 9:09 am
The first whistleblower, who was the first to alert SEC staff of potential…Read the Full Press ReleaseHave a securities law question? [read post]
6 Jan 2014, 6:30 am
At the deposition, the Staff will make an opening statement and describe the general process to the witness. [read post]
24 Oct 2017, 9:33 am
However, when the SEC decides not to file a proceeding, there are limits on who the Staff is required to notify.Specifically, the Staff must notify anyone who: is identified in the caption of the formal order; submitted or was solicited to submit a Wells submission; or to the staff’s knowledge, reasonably believes that the staff was considering recommending an enforcement action against them.Unfortunately, witnesses who have received… [read post]
8 Aug 2017, 1:35 pm
The SEC Division of Economic and Risk Analysis (DERA) today published a report describing trends in primary securities issuance and secondary market liquidity, and assessing how those trends relate to post-crisis regulatory reforms. [read post]
13 Sep 2017, 1:42 pm
Entities and investment professionals affected by Hurricanes Harvey and Irma are encouraged to contact Commission staff with questions and concerns:Office of Compliance Inspections and Examinations staff in the Commission's Atlanta Regional Office can be reached by phone at 404-842-7600 or email at atlanta@sec.govOffice of Compliance Inspections and Examinations staff in the Commission's Miami Regional Office can be reached by phone at 305-982-6300 or… [read post]
30 Aug 2017, 2:48 pm
Entities and investment professionals affected by Hurricane Harvey are encouraged to contact Commission staff with questions and concerns: Office of Compliance Inspections and Examinations staff in the Commission's Fort Worth Regional Office can be reached by phone at 817-978-3821 or email at dfw@sec.gov,Division of Corporation Finance staff can be reached by phone at 202-551-3500 or via online submission at http://ift.tt/2wTOZJt,Division of Investment… [read post]
20 Jul 2016, 11:48 am
”Before joining the SEC staff, Mr. [read post]
13 Jan 2014, 6:04 am
The SEC staff may provide periodic updates to the interpretive guidance issued today. [read post]
16 Oct 2014, 7:00 am
The issues raised by those criticisms have grown in significance in recent years as the SEC staff has used vague and overbroad subpoenas and requests for documents in the age of email and electronically stored information. [read post]
