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29 Jan 2019, 11:11 am
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]
8 Aug 2018, 9:35 am
The latest additions are firms that the SEC staff found were providing inaccurate information about their affiliation, location, or registration. [read post]
8 Aug 2018, 9:35 am
The latest additions are firms that the SEC staff found were providing inaccurate information about their affiliation, location, or registration. [read post]
25 May 2018, 12:00 pm
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]
11 Apr 2018, 8:34 am
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]
27 Mar 2018, 6:30 am
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]
29 Jan 2018, 8:02 am
The situation creates real-life kangeroo courts, where the rules of evidence are tossed out the window, the SEC staff can put in any "evidence" it wants, including double and triple hearsay - witnesses testifying that someone told them that someone else said that the broker said something. [read post]
7 Dec 2017, 8:45 am
In addition, FINRA staff has been working with the North American Securities Administrators Association (NASAA) on various expungement issues, including potential amendments to the existing regulatory review process.The text of the proposed amendments can be found at www.finra.org/notices/17-42. [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]
11 Oct 2017, 9:19 am
"The proposal reflects changes based on recommendations in the staff's FAST Act Report and amendments developed as part of a broader review of the Commission's disclosure system. [read post]
10 Oct 2017, 1:34 pm
Jospin’s watch, the Atlanta office’s exam staff has increased collaboration with enforcement and generated substantial referrals, including those that led to several of the actions referenced above. [read post]
2 Oct 2017, 9:22 am
” SEC staff outreach events include: an information session with seniors answering questions on investing, retirement and ways to protect against fraud, a Twitter chat about the various issues surrounding investing with robo-advisers, a Thrift Savings Plan (TSP) program for federal employees covering TSP distribution options, withdrawals, fees and how to avoid scams, and numerous saving and investing presentations for students and military service members.For a list of other SEC… [read post]
2 Oct 2017, 8:11 am
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]
28 Sep 2017, 3:27 pm
The Commission staff will address these and any disclosure-related issues on a case-by-case basis in light of their fact-specific nature. [read post]
28 Sep 2017, 12:22 pm
Calamari began his SEC tenure as a staff attorney and rose through the ranks to his leadership position. [read post]
25 Sep 2017, 3:16 pm
The Cyber Unit will consolidate and advance these efforts, and include staff from across the Enforcement Division.Robert A. [read post]
21 Sep 2017, 1:25 pm
We encourage companies to contact the division staff if additional interpretive questions arise as the compliance date approaches. [read post]
20 Sep 2017, 10:05 am
Tom's significant industry experience and leadership prior to and at the SEC will be invaluable to the experienced and dedicated staff in the New York examination program. [read post]
19 Sep 2017, 12:35 pm
I am extremely proud of the work by the Division of Trading and Markets and the dedication of its staff. [read post]
15 Sep 2017, 11:51 am
Joseph has led a team of over 130 accountants, examiners, attorneys, and support staff responsible for the examination of investment companies and investment advisers in New York and New Jersey. [read post]
