Search for: "SECLaw Staff" Results 41 - 60 of 247
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16 Oct 2014, 7:00 am by Mark Astarita
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]
15 Oct 2020, 8:09 am by Astarita
The Securities and Exchange Commission today announced an award of more than $800,000 to a whistleblower whose information caused the staff to open an investigation that led to two successful SEC enforcement actions. [read post]
5 Nov 2019, 10:21 am by Astarita
“Today’s proposed amendments follow from the staff…Read the Full Press ReleaseHave a securities law question? [read post]
4 Nov 2016, 8:20 am by Mark Astarita
As of October 19, 2016, FINRA's Office of Dispute Resolution (ODR) staff had discussed all of the recommendations with the National Arbitration and Mediation Committee (NAMC), FINRA's Board Advisory Committee on the dispute resolution forum. [read post]
30 Dec 2019, 9:48 am by Astarita
The Securities and Exchange Commission today announced that it is proposing amendments to codify certain staff consultations and modernize certain aspects of its auditor independence framework. [read post]
2 Oct 2017, 8:11 am by Mark Astarita
  Chairman Clayton also has directed the staff to take a number of steps designed to strengthen the agency’s cybersecurity risk profile, with an initial focus on EDGAR. [read post]
9 Apr 2021, 8:41 am by Astarita
The Securities and Exchange Commission today announced an award of approximately $2.5 million to a whistleblower whose information and ongoing assistance to the staff significantly contributed to the success of an SEC enforcement action. [read post]
29 Oct 2020, 11:09 am by Astarita
The Securities and Exchange Commission today announced an award of over $10 million to a whistleblower whose information prompted the opening of an investigation and provided substantial, ongoing assistance to SEC staff throughout the investigation. [read post]
5 Aug 2020, 10:09 am by Astarita
The Securities and Exchange Commission today published procedures setting forth a staff-led process to nominate candidates for appointment to the Investor Advisory Committee. [read post]
4 Apr 2013, 6:30 am by Mark Astarita
The SEC Staff considered that post to be a violation of Regulation FD. [read post]
11 Sep 2017, 2:40 pm by Mark Astarita
  I would like to thank my colleagues, including Commissioners Piwowar and Stein and the staff of the Commission, for their leadership in achieving this important result. [read post]
26 Mar 2020, 12:07 pm by Astarita
If you have an in-person hearing or mediation session that is postponed as a result of this decision, you will be contacted by FINRA staff to reschedule or discuss remote scheduling options.Please note that this decision does not affect other case deadlines. [read post]
9 Jul 2019, 2:10 pm by Astarita
”“I appreciate the staff’s collaboration with CFTC staff on this proposal,” said SEC Commissioner Hester Peirce. [read post]
21 Mar 2016, 10:39 am by Mark Astarita
  He advises the Chair, Commissioners, and SEC staff on legislative matters, provides technical assistance on securities-related legislation to congressional committees and staff, and assists in preparing SEC testimony for congressional hearings. [read post]
25 Jan 2012, 10:29 am by SECLaw Staff
The SEC announced that a Texas-based former audit partner at accounting and consulting firm BDO USA LLP has pled guilty to criminal charges for lying to SEC enforcement staff during investigative testimony. [read post]
26 Jun 2019, 12:50 pm by Astarita
Pandol will advise the Chairman, Commissioners, and SEC staff on legislative matters, provide technical assistance on securities-related legislation to congressional committees and staff, assist in preparing SEC testimony for congressional hearings, and coordinate with other government entities. [read post]
24 Jul 2017, 8:41 am by Mark Astarita
Wood will advise the Chairman, Commissioners, and SEC staff on legislative matters, provide technical assistance on securities-related legislation to congressional committees and staff, assist in preparing SEC testimony for congressional hearings, and coordinate with other government entities. [read post]
21 Sep 2017, 1:25 pm by Mark Astarita
  We encourage companies to contact the division staff if additional interpretive questions arise as the compliance date approaches. [read post]