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18 Oct 2021, 1:35 pm
The Securities and Exchange Commission today published a Staff Report on Equity and Options Market Structure Conditions in Early 2021, which focuses on the January 2021 trading activity of GameStop Corp (GME), the most famous of the "meme…Read the Full Press ReleaseHave a securities law question? [read post]
11 Sep 2021, 6:27 am
I suspect that those posters have never dealt with an SEC Wells Notice, which quite often is simply a statement that the Staff intends to recommend enforcement action for violation of a particular statute.While it is true that a Wells Notice comes after an investigation, in which the target participated, and after discussions with the Staff, the often cryptic language presents a problem for the target in deciding whether to respond and how to respond. [read post]
31 Aug 2021, 12:25 pm
SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricane Ida making landfall on Aug. 29, 2021. [read post]
25 Aug 2021, 12:10 pm
The Securities and Exchange Commission today announced the appointment of Barbara Roper as Senior Advisor to the Chair. [read post]
16 Jul 2021, 8:05 am
The Securities and Exchange Commission today announced the appointments of Corey Klemmer, Adam Large, Mika Morse, Sirimal Mukerjee, and Sai Rao to Chair Gary Gensler's policy staff, led by the Policy Director Heather Slavkin Corzo. [read post]
15 Jul 2021, 8:50 am
The whistleblower provided SEC staff with valuable information and ongoing…Read the Full Press ReleaseHave a securities law question? [read post]
24 Jun 2021, 8:35 am
The whistleblower provided SEC staff with valuable…Read the Full Press ReleaseHave a securities law question? [read post]
8 Jun 2021, 2:29 pm
Shah, Angelica Annino, Liz Bloom, Basmah Nada, and Jahvonta Mason as members of SEC Chair Gary Gensler's executive staff. [read post]
27 May 2021, 10:36 am
The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower who alerted SEC staff to certain violations, prompting the opening of an investigation. [read post]
17 May 2021, 9:56 am
In the first order, the SEC awarded almost $27 million to two claimants who provided SEC staff with new information and…Read the Full Press ReleaseHave a securities law question? [read post]
19 Apr 2021, 1:36 pm
The Securities and Exchange Commission today announced the appointments of Prashant Yerramalli, Heather Slavkin Corzo, Kevin Burris, and Scott Schneider to Gary Gensler’s senior staff, responsible for advising him on matters before the Commission. [read post]
15 Apr 2021, 7:11 am
The Securities and Exchange Commission today announced an award of over $50 million to joint whistleblowers whose information alerted SEC staff to violations that involved highly complex transactions and would have been difficult to detect without their…Read the Full Press ReleaseHave a securities law question? [read post]
9 Apr 2021, 8:41 am
The Securities and Exchange Commission today announced an award of approximately $2.5 million to a whistleblower whose information and ongoing assistance to the staff significantly contributed to the success of an SEC enforcement action. [read post]
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]
2 Feb 2021, 12:52 pm
The executive staff is responsible for advising the Chair on matters before the Commission, working closely with agency staff, and…Read the Full Press ReleaseHave a securities law question? [read post]
1 Feb 2021, 10:56 am
The executive staff is responsible for advising the Chair on matters before the Commission, working closely with agency staff, and…Read the Full Press ReleaseHave a securities law question? [read post]
18 Jan 2021, 3:37 pm
The whistleblower continued to provide helpful assistance by meeting with investigative staff in-person, providing documents, and identifying witnesses. [read post]
8 Jan 2021, 1:27 pm
The whistleblower continued to provide helpful assistance by meeting with investigative staff in-person, providing documents, and identifying witnesses. [read post]
18 Dec 2020, 10:36 am
The Securities and Exchange Commission today issued the Annual Report on Nationally Recognized Statistical Rating Organizations (NRSROs) and the 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating…Read the Full Press ReleaseHave a securities law question? [read post]
17 Dec 2020, 11:35 am
----------------The attorneys at Sallah Astarita & Cox, LLC include former SEC Staff Attorneys and brokerage firm attorneys. [read post]
