Search for: "SECLaw Staff" Results 61 - 80 of 247
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5 Oct 2020, 9:09 am by Astarita
As World Investor Week (WIW) 2020 kicks off, the Securities and Exchange Commission today announced that staff will engage with Main Street investors to emphasize the importance of two particularly relevant investing topics−planning for life’s unexpected…Read the Full Press ReleaseHave a securities law question? [read post]
13 Nov 2020, 10:10 am by Astarita
The Securities and Exchange Commission today announced an award of over $1.1 million to a whistleblower whose independent analysis led the staff to look at new conduct during an ongoing investigation. [read post]
16 Oct 2020, 7:10 am by Astarita
The Securities and Exchange Commission today announced the agenda and panelists for the October 26, 2020, roundtable where Commission staff and FINRA will discuss initial observations on Regulation Best Interest and Form CRS implementation. [read post]
29 Jan 2019, 11:11 am by Mark Astarita
As a new alert from the SEC Office of Compliance Inspections and Examinations makes clear, examiners are paying close attention to advisers and staff who text, send instant messages and use personal emails to communicate with clients.More from Financial Advisor Online -https://www.fa-mag.com/news/the-sec-is-actively-monitoring-your-online-communications--are-you-42654.html [read post]
24 Jan 2020, 12:20 pm by Astarita
Two annual SEC staff reports released today highlight the important work of the Office of Credit Ratings in examining and monitoring nationally recognized statistical rating organizations (NRSROs). [read post]
25 Mar 2016, 8:52 am by Mark Astarita
  The SEC staff is aware of increased stock promotion of companies that claim to be developing products or services relating to the Zika virus.Investor Alert: Zika Crisis May Give Rise to Investment Scams: "Investor Alert: Zika Crisis May Give Rise to Investment Scams" [read post]
16 Oct 2020, 10:10 am by Astarita
  Informed by decades of staff experience applying the auditor independence framework…Read the Full Press ReleaseHave a securities law question? [read post]
3 Aug 2009, 4:00 am
  The Guide, authored by Professor Jill Gross, the Director of the school's Investor Rights Clinic, and Clinic Staff  Attorney  Alice Oshins,  is designed to help individual investors with modest investment accounts. [read post]
15 Jul 2021, 8:50 am by Astarita
  The whistleblower provided SEC staff with valuable information and ongoing…Read the Full Press ReleaseHave a securities law question? [read post]
5 Dec 2019, 12:10 pm by Astarita
 The Forum is a unique event attended by SEC Commissioners and staff in which members of the public and…Read the Full Press ReleaseHave a securities law question? [read post]
27 Feb 2020, 2:09 pm by Astarita
Gibson joined the SEC in 2008 as a staff attorney in the Division of Enforcement in the Philadelphia office. [read post]
18 Dec 2020, 10:36 am by Astarita
The Securities and Exchange Commission today issued the Annual Report on Nationally Recognized Statistical Rating Organizations (NRSROs) and the 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating…Read the Full Press ReleaseHave a securities law question? [read post]
31 Aug 2021, 12:25 pm by Mark Astarita
SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricane Ida making landfall on Aug. 29, 2021. [read post]
17 May 2021, 9:56 am by Astarita
  In the first order, the SEC awarded almost $27 million to two claimants who provided SEC staff with new information and…Read the Full Press ReleaseHave a securities law question? [read post]
15 Apr 2021, 7:11 am by Astarita
The Securities and Exchange Commission today announced an award of over $50 million to joint whistleblowers whose information alerted SEC staff to violations that involved highly complex transactions and would have been difficult to detect without their…Read the Full Press ReleaseHave a securities law question? [read post]
27 May 2021, 10:36 am by Astarita
The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower who alerted SEC staff to certain violations, prompting the opening of an investigation. [read post]
24 Jun 2021, 8:35 am by Astarita
 The whistleblower provided SEC staff with valuable…Read the Full Press ReleaseHave a securities law question? [read post]
9 Mar 2016, 1:33 pm by Mark Astarita
  “Attendees will learn what other firms are doing to comply with certain regulations and the SEC staff’s perspective regarding interpreting, examining, and enforcing these regulations. [read post]
15 Oct 2009, 8:52 am
A Wells Notice is a device used by the SEC to advise a prospective defendant that the Staff is going to make a recommendation to the Commission to commence proceeding. [read post]
16 Mar 2020, 11:33 am 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]