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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]
9 May 2019, 7:44 am by Unknown
These SRCs, among other things, are required to comply with the requirement that an outside independent auditor attest to the effectiveness of their internal control over financial reporting.When the Commission revised the SRC definition, the Chairman directed the staff to formulate recommendations to the Commission for possible rule amendments that, if adopted, would appropriately redefine the issuers that are designated as accelerated filers and thereby promote capital formation. [read post]
11 Apr 2018, 8:34 am by Mark Astarita
Making matters worse, the Staff will not tell you that they are calling customers, or who they called.While it is undoubtedly true that the Staff has good intentions, and does not attempt to mislead the customer, many Staff members are inexperienced in the industry, and others are simply uninformed. [read post]
23 Nov 2020, 2:33 pm by Astarita
The Compliance Rule requires advisers to consider their fiduciary and regulatory obligations under the Advisers Act and to formalize policies and procedures to address them.The Alert details common deficiencies, including:OCIE staff observed advisers that did not devote adequate resources, such as information technology, staff and training, to their compliance programs. [read post]
11 May 2016, 8:00 am by Mark Astarita
  At the May 18 meeting, the committee will discuss the recent SEC staff report on the accredited investor definition, followed by a discussion of developments in unregistered securities offerings under Regulation D. [read post]
8 Mar 2016, 8:33 am by Mark Astarita
Driscoll will manage the new office and the Investment Adviser/Investment Company examination staff based in Washington, D.C. [read post]
17 Jun 2016, 4:43 pm by Mark Astarita
The staff guidance states that delays of less than one millisecond are at a de minimis level. [read post]
8 Jan 2021, 1:27 pm by Astarita
The whistleblower continued to provide helpful assistance by meeting with investigative staff in-person, providing documents, and identifying witnesses. [read post]
3 Dec 2015, 10:04 am by Mark Astarita
While it has been modified a bit (to remove the investor's home from the net worth calculation) the net worth and income figures have not been changed since 1982.According to InvestmentNews, in an appearance before the House Financial Services Committee, SEC Chairman White said a staff study of the accredited investor standard would be released sometime in the next three to four months. [read post]
25 May 2018, 12:00 pm by SEClaw Staff
The attorneys at Sallah Astarita & Cox include experienced former SEC staff attorneys, and securities attorneys with decades of experience in securities manipulation cases. [read post]
16 Jul 2021, 8:05 am by Astarita
The Securities and Exchange Commission today announced the appointments of Corey Klemmer, Adam Large, Mika Morse, Sirimal Mukerjee, and Sai Rao to Chair Gary Gensler's policy staff, led by the Policy Director Heather Slavkin Corzo. [read post]
16 Jun 2020, 6:10 am by Astarita
Former acting White House Chief of Staff Mick Mulvaney sold up to $550,000 in securities as the coronavirus was hitting the U.S. and President Trump was providing upbeat statements about the strength of the U.S. economy.Mulvaney’s trades, disclosed in a filing as he left the White House, comes as Sen. [read post]
14 Apr 2011, 6:02 am by Mark J. Astarita, Esq.
While the type and frequency of enforcement cases that are filed are largely under the control and selection of the SEC Staff, there have been a rash of insider trading cases in recent weeks.Yesterday the SEC charged a former hedge fund portfolio manager with insider trading in a bio-pharmaceutical company based on confidential information about negative results of the company’s clinical drug trial.The SEC alleges that Dr. [read post]
28 Mar 2019, 2:06 pm by Mark Astarita
Gibb’s fraud was discovered by the SEC’s San Francisco Office of Compliance Inspections and Examinations staff when they conducted an examination of Sweetwater. [read post]
28 May 2019, 2:14 pm by Astarita
Schneider joined the SEC staff in 2005 as a staff attorney in the San Francisco office. [read post]
17 Feb 2016, 1:02 pm by Mark Astarita
Kahl said, “I look forward to working with Marc, the OCIE leadership team, and the talented staff of the Chief Counsel’s Office. [read post]
11 Sep 2021, 6:27 am by Mark Astarita
I suspect that those posters have never dealt with an SEC Wells Notice, which quite often is simply a statement that the Staff intends to recommend enforcement action for violation of a particular statute.While it is true that a Wells Notice comes after an investigation, in which the target participated, and after discussions with the Staff, the often cryptic language presents a problem for the target in deciding whether to respond and how to respond. [read post]
27 Mar 2018, 6:30 am by Mark Astarita
  In conjunction with this extension, the staff issued new guidance intended to assist funds in complying with the liquidity rule’s classification requirements. [read post]
10 Feb 2016, 11:25 am by Mark Astarita
  The CFTC subsequently requested comment on the staff advisory and both the staff advisory and comments received on it are under review at the CFTC.What’s Next? [read post]