Search for: "SECLaw Staff" Results 101 - 120 of 247
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1 Apr 2019, 1:33 pm by Mark Astarita
The SEC staff is committed to empowering Main Street investors and enhancing their understanding of financial principles and practices. [read post]
31 Mar 2016, 11:36 am by Mark Astarita
  In a June 4, 2012 meeting, EPA staff told Navistar that it had serious concerns about this application as well and the next day informed Navistar in writing that the engine as currently designed was “unlikely” to be certified. [read post]
18 Jan 2021, 3:37 pm by Astarita
The whistleblower continued to provide helpful assistance by meeting with investigative staff in-person, providing documents, and identifying witnesses. [read post]
22 Jul 2016, 12:10 pm by Mark Astarita
Martinez began working in the SEC’s Enforcement Division in 2003 as a staff attorney and senior counsel. [read post]
3 Aug 2017, 8:08 am by Mark Astarita
Grim joined the SEC in 1995 as a Staff Attorney in the Division’s Office of Investment Company Regulation. [read post]
3 Feb 2014, 12:00 pm by Mark Astarita
After the SEC staff contacted Scottrade questioning the data, the firm informed the agency that a computer coding error had resulted in the inadvertent omission of the trades. [read post]
9 Feb 2016, 1:00 pm by Mark Astarita
Patel began working in the Los Angeles office in 2001 as a staff attorney and became an Assistant Director in 2009. [read post]
11 Jan 2016, 11:12 am by Mark Astarita
Riewe began her SEC career in 2005 as a staff attorney in the Enforcement Division in Washington D.C. and was promoted to branch chief in 2008. [read post]
25 Sep 2017, 3:16 pm by Mark Astarita
  The Cyber Unit will consolidate and advance these efforts, and include staff from across the Enforcement Division.Robert A. [read post]
14 Jul 2016, 11:26 am by Mark Astarita
 AGENDA9:30 a.m.Co-Chairs Stephen Graham and Sara Hanks call meeting to order Introductory Remarks by Chair Mary Jo White and Commissioner Kara Stein10:00 a.m.Consider “Accredited Investor” Definition Recommendation as discussed at May 18th Meeting10:30 a.m.Regulation A+ Update and ReviewUpdate from SEC Division of Corporation Finance staff on the usage of Regulation A+ in its first yearPresentation from Paul Elio, CEO and Chairman of Elio Motors Inc., a company that… [read post]
10 Aug 2016, 8:34 am by Mark Astarita
  BlueLinx further agreed to certify to Enforcement Division staff that it has complied with its undertakings.The SEC’s investigation was conducted by Tara Kelly and V.V. [read post]
19 Sep 2017, 12:35 pm by Mark Astarita
  I am extremely proud of the work by the Division of Trading and Markets and the dedication of its staff. [read post]
3 Oct 2016, 8:02 am by Mark Astarita
“Municipal advisors will benefit from hearing first-hand from our staff. [read post]
3 Jul 2019, 8:05 am by Astarita
Teotia will serve as the principal advisor to the Commission on accounting and auditing matters, and will lead the 45 dedicated staff in the Commission’s Office of the Chief Accountant. [read post]
9 Jul 2019, 8:06 am by Astarita
 On behalf of all of my colleagues, Commissioners and staff alike, I am pleased to welcome her back. [read post]
17 Dec 2020, 11:35 am by Astarita
----------------The attorneys at Sallah Astarita & Cox, LLC include former SEC Staff Attorneys and brokerage firm attorneys. [read post]
8 Aug 2018, 9:35 am by Mark Astarita
  The latest additions are firms that the SEC staff found were providing inaccurate information about their affiliation, location, or registration. [read post]
25 Aug 2016, 3:01 pm by Mark Astarita
The Securities and Exchange Commission today announced that it is seeking public comment on disclosure requirements in Subpart 400 of Regulation S-K, including those relating to management, certain security holders, and corporate governance matters.The request for comment is part of the Disclosure Effectiveness Initiative, which is a broad-based staff review of the disclosure requirements and the presentation and delivery of the disclosures. [read post]