Search for: "SECLaw Staff" Results 141 - 160 of 247
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11 Oct 2017, 9:19 am by Mark Astarita
"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]
15 Jul 2019, 7:48 am by Astarita
  The RMBS investigation and ensuing litigation was conducted by staff in the Complex Financial Instruments Unit and the Boston Regional Office, including Susan Curtin, Kerry Dakin, Rua Kelly, Al Day and Celia Moore. [read post]
2 Oct 2017, 9:22 am by Mark Astarita
” 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 Mar 2009, 1:10 am
According to the article, he was absent during the discussions and bailout of Bear, he let Commissioner Atkins run loose, his policy that required staff to seek permission to seek penalties demoralized the agency.I am not so sure that we can lay the entire blame for the SEC's failures at the feet of Chairman Cox, but Time sure gives it a try. [read post]
16 Aug 2016, 10:37 am by Mark Astarita
  Health Net further agreed to certify to Enforcement Division staff that it has complied with this undertaking. [read post]
15 Mar 2019, 12:26 pm by Mark Astarita
  This action evidences the vigilance of the SEC’s exam and enforcement staff in identifying investments advisers that exploit client relationships and harm investors. [read post]
9 Mar 2016, 11:41 am by Mark Astarita
“SEC enforcement staff continue to develop and refine analytical tools to uncover illicit trading activity and hold accountable those abusing the markets for their own financial gain,” said Joseph G. [read post]
30 Mar 2010, 8:18 am by Mark J. Astarita, Esq.
Upfront - this piece is a bit unfair, but the allegations are amazing. [read post]
25 Aug 2021, 12:10 pm by Mark Astarita
The Securities and Exchange Commission today announced the appointment of Barbara Roper as Senior Advisor to the Chair. [read post]
7 Dec 2009, 8:00 am by Mark J. Astarita, Esq.
There is a difference, and those millions of dollars would be better spent hiring staff and investigators so that exams and enforcement actions don't take years and years to complete. [read post]
20 Sep 2017, 10:05 am by Mark Astarita
 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]
14 Aug 2014, 11:00 am by Mark Astarita
Most independent firms rely on the assistance of their in-house staffs as well as outside counsel such as my firm, for unique issues that arise, and in insuring that regulators understand the unique issues facing these firms.Larry Roth, the President of Cetera, a network of independent firms, has offered his thoughts on the future of the independent firm. [read post]
10 Oct 2014, 5:30 am by Mark Astarita
”For more information visit | SEC Staff Issue Risk Alert and FAQs on Customer Sales of Securities---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
25 Aug 2016, 9:02 am by Mark Astarita
These records will be useful to the Commission’s examinations staff in evaluating adviser performance claim, and could reduce the incidence of misleading or fraudulent advertising and communications by advisers.The amendments will be published on the Commission’s website and in the Federal Register. [read post]
16 Feb 2021, 8:36 am by Astarita
The number of investigations thereafter rose.The Trump Administration limited that authority to senior officials, which reduced the number of investigations declined.On February 9, 2021 the Biden Administration made another change,  and authorized senior officers in the Enforcement Division to approve the issuance of a Formal Order of Investigation.Returning this authority to the division’s experienced senior officers, who have a proven track record of executing it prudently, helps to… [read post]
30 May 2019, 12:06 pm by Astarita
""It is an honor to continue to work on behalf of the agency and investors, and to lead the deeply talented and dedicated staff of the Office of the Chief Accountant," said Mr. [read post]
31 Jul 2014, 10:00 am by Alexa Astarita
  During that period, Smith & Wesson’s international sales staff engaged in a pervasive effort to attract new business by offering, authorizing, or making illegal payments or providing gifts meant for government officials in Pakistan, Indonesia, and other foreign countries. [read post]
24 Jun 2019, 9:13 am by Astarita
  Office staff, among other things, review all documents submitted to the Commission, track documents submitted to the Commission, schedule Commission meetings in accordance with the Government in the Sunshine Act, maintain records of official Commission actions, and provide public notice of those actions on the website and in the Federal Register. [read post]
2 Aug 2017, 11:13 am by Mark Astarita
Esau will direct a staff of approximately 40 accountants, examiners, and attorneys responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across five southeastern states (Alabama, Georgia, North Carolina, South Carolina, and Tennessee). [read post]