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16 Feb 2021, 8:36 am
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]
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]
31 Jul 2014, 10:00 am
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]
22 Mar 2010, 9:47 am
We can help your firm, and staff, understand the use of social media, create procedures to deal with these new communication tools, and implement those procedures to avoid costly exams and fines down the road.More>>> [read post]
29 May 2012, 6:00 am
At the same time, Martens’ trial unit staff has stayed relatively flat at about 36. [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]
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]
3 Dec 2020, 7:54 am
In addition, this proposed rule sets up an end run of the federal and state bankruptcy laws, essentially preventing firms who are in financial trouble from declaring bankruptcy, since withdrawals from the deposit cannot be made without FINRA approval.Adopting a rule that gives its own Staff the ability to decide who has to make the deposit, and the amount of that deposit, removes capital from those firms, harms their ability to continue to operate, and in the long run, harms the owners and… [read post]
18 Apr 2014, 8:00 am
After the SEC staff implemented the asset freeze, at the SEC's request the court lifted the seal today, permitting public announcement of the SEC's charges.The SEC alleges that TelexFree, Inc. and TelexFree, LLC claim to run a multilevel marketing company that sells telephone service based on "voice over Internet" (VoIP) technology but actually are operating an elaborate pyramid scheme. [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]
13 Apr 2016, 6:12 pm
”Today’s charges are the latest example of SEC staff thwarting the efforts of insider traders to avoid detection by trading in a relative's brokerage account. [read post]
8 Aug 2013, 10:30 am
Ultimately the Staff takes the customer's testimony under oath,At that time, the customer is faced with a choice - assist the investigation and testify, or refuse to testify and assert his rights under the Fifth Amendment. [read post]
11 Apr 2016, 11:28 am
Sprung said, “It has been an honor to work with staff throughout the Division of Enforcement and the SEC who inspired me with their unwavering professionalism, skill and talent during my tenure at the agency. [read post]
16 Aug 2017, 12:35 pm
Enhanced detection capabilities enabled SEC enforcement staff to spot the unusual trading activities. [read post]
27 Feb 2017, 9:00 am
Every review by the SEC Staff and Advisory Committees have recommending tightening the accredited investor definition, not removing it.But here is Mr. [read post]
15 Apr 2016, 6:03 am
The concept release, which arises out of the staff’s work on the Disclosure Effectiveness Initiative, would consider ways to enhance the disclosure requirements for the benefit of investors and companies. [read post]
20 Mar 2019, 2:51 pm
“Investors will benefit from the SEC staff’s exemplary work to improve disclosure,” said SEC Chairman Jay Clayton. [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]
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]
11 Aug 2014, 3:07 pm
They use their staff as the prosecutors, and use their internal administrative law judges as the judge and jury. [read post]
