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30 Sep 2016, 1:19 pm
” Before joining the SEC staff, Mr. [read post]
28 Sep 2016, 12:54 pm
Norberg said, “It has been an honor serving in the roles of deputy and acting chief and working with staff extremely dedicated to the mission. [read post]
28 Sep 2016, 11:44 am
In developing these rules, the Commission staff consulted with the Financial Stability Oversight Council (FSOC), the Commodity Futures Trading Commission (CFTC), the Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation (FDIC). [read post]
15 Sep 2016, 7:36 am
Marietta-Westberg will leave the SEC to join the private sector.Prior to joining the SEC staff, Dr. [read post]
8 Sep 2016, 9:24 am
After warnings from internal accounting staff that an incorrect method was used to calculate AFFO in ARCP’s 2014 first quarter financial results, Block falsified the company’s AFFO presentation in the final hours before filing the company’s second quarter results. [read post]
7 Sep 2016, 9:10 am
”Ms. ten Siethoff added, “I look forward to continuing to work with the exceptional staff of the Division of Investment Management to develop rulemaking recommendations that promote a fair, efficient and effective regulatory regime for investment funds and investment advisers. [read post]
25 Aug 2016, 3:01 pm
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]
25 Aug 2016, 9:02 am
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 Aug 2016, 10:37 am
Health Net further agreed to certify to Enforcement Division staff that it has complied with this undertaking. [read post]
10 Aug 2016, 8:34 am
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]
2 Aug 2016, 7:32 am
Treasury market, including a number of steps that are consistent with the recommendations of the Joint Staff Report. [read post]
22 Jul 2016, 12:10 pm
Martinez began working in the SEC’s Enforcement Division in 2003 as a staff attorney and senior counsel. [read post]
22 Jul 2016, 10:34 am
He worked closely with PCAOB staff to promote the evolution of root cause analysis by auditors and the PCAOB to obtain a deeper understanding of the underlying causes of recurring audit deficiencies. [read post]
20 Jul 2016, 11:48 am
”Before joining the SEC staff, Mr. [read post]
14 Jul 2016, 11:26 am
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]
13 Jul 2016, 10:12 am
The Commission staff consulted with the staff of the CFTC during this rulemaking. [read post]
13 Jul 2016, 10:12 am
” The proposing release is part of the disclosure effectiveness review, which is a broad-based staff review of the requirements, and the presentation and delivery of disclosures that companies make to investors. [read post]
8 Jul 2016, 9:09 am
Working with the extraordinarily talented and dedicated staff of the Whistleblower Office and the Enforcement Division in standing up a groundbreaking and exemplary Whistleblower Office has been the highlight of my professional career. [read post]
29 Jun 2016, 9:25 am
I have been privileged to work with numerous talented and dedicated staff members and contribute to the Commission’s important international work. [read post]
28 Jun 2016, 11:43 am
She began working in the Los Angeles office in 2005 as a staff attorney in the Division of Enforcement and joined the Asset Management Unit when it was formed in 2010. [read post]
