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18 Aug 2017, 2:35 pm by Mark Astarita
 Until such time, the SAB states that registrants should continue referring to prior staff guidance on revenue recognition.The statements in Staff Accounting Bulletins are not Commission rules or interpretations nor are they published as bearing the Commission's official approval. [read post]
12 Jul 2019, 1:05 pm by Astarita
"The transition away from LIBOR is gaining some much needed traction, but, as the staff's statement makes clear, significant work remains," said Chairman Jay Clayton. [read post]
26 Jun 2019, 11:05 am by Astarita
 He was named Chief of Staff by Chairman Jay Clayton in May 2017.As Chief of Staff, Mr. [read post]
28 Dec 2015, 8:18 am by Mark Astarita
"The annual examination report summarizes the staff’s findings from the examinations of each NRSRO as required by the 2010 Dodd-Frank Act. [read post]
12 Nov 2013, 6:13 am by Mark Astarita
Securities and Exchange Commission are conducting an investigation of the SEC's New York office for the possibility of improper investments.According to Reuters, investigators are checking whether the employees' investments comply with SEC internal rules that prohibit trading shares of companies under investigation.The article claims that the investigation appears limited to the New York office of the securities regulator, and there is no indication of widespread flouting of the rules, according to… [read post]
15 Mar 2019, 8:26 am by Mark Astarita
The Securities and Exchange Commission today announced that its staff will host a public forum focusing on distributed ledger technology (DLT) and digital assets on May 31, 2019. [read post]
24 Apr 2019, 7:26 am by Unknown
The Securities and Exchange Commission today announced the agenda for the forum that its staff is hosting on May 31 to discuss distributed ledger technology and digital assets.The 2019 FinTech Forum, which will be hosted by the SEC's Strategic Hub for Innovation and Financial Technology (FinHub), will begin at 9:30 a.m. [read post]
26 Jun 2019, 11:05 am by Astarita
Memon has served as the SEC’s Deputy Chief of Staff since May 2017. [read post]
6 Dec 2011, 10:57 am by SECLaw Staff
Risk AlertRegulatory NoticeSEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office InspectionsSEC Staff and FINRA Issue Risk Alert on Broker-Dealer Branch Office Inspections [read post]
2 Aug 2016, 7:32 am by Mark Astarita
Treasury market, including a number of steps that are consistent with the recommendations of the Joint Staff Report. [read post]
26 Jun 2019, 11:05 am by Astarita
  I am honored by the opportunity and excited to continue serving with Chairman Clayton, the Commissioners and the talented staff to advance the SEC’s important mission. [read post]
26 Jun 2019, 1:06 pm by Astarita
The Securities and Exchange Commission today released a full roster of the executive staff of Chairman Jay Clayton, including several individuals who have recently joined the office.Chairman Clayton's executive staff is responsible for advising the Chairman on all matters before the Commission, working closely with agency staff, and helping the Chairman perform all day-to-day operations needed to fulfill the SEC's mission. [read post]
4 Nov 2019, 12:01 pm by Astarita
The Securities and Exchange Commission today announced that SEC Chairman Jay Clayton, Public Company Accounting Oversight Board (PCAOB) Chairman William Duhnke, and members of the SEC staff met last week with senior representatives of the four largest…Read the Full Press ReleaseHave a securities law question? [read post]
12 Jul 2019, 12:50 pm by Astarita
Entities and investment professionals affected by Tropical Storm Barry are encouraged to contact Commission staff with questions and concerns:Office of Compliance Inspections and Examinations staff in the Commission's Miami Regional Office can be reached by phone at 305-982-6300 or email at miami@sec.govOffice of Compliance Inspections and Examinations staff in the Commission's Atlanta Regional Office can be reached by phone at 404-842-7600 or email… [read post]
24 Sep 2019, 5:11 am by Astarita
The notice references, in broad-strokes, the violation that the Staff believes has occurred. [read post]
16 Aug 2014, 7:44 am by Mark Astarita
The notice references, in broad-strokes, the violation that the Staff believes has occurred. [read post]
1 Oct 2019, 6:39 am by Astarita
SEC staff will also…Read the Full Press ReleaseWant to talk to a securities lawyer? [read post]
6 Jan 2014, 6:30 am by Mark Astarita
At the deposition, the Staff will make an opening statement and describe the general process to the witness. [read post]
24 Oct 2017, 9:33 am by Mark Astarita
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]