Search for: "SEClaw Staff" Results 1 - 20 of 228
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3 Dec 2020, 7:54 am by Astarita
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]
23 Nov 2020, 2:33 pm by Astarita
The Compliance Rule requires advisers to consider their fiduciary and regulatory obligations under the Advisers Act and to formalize policies and procedures to address them.The Alert details common deficiencies, including:OCIE staff observed advisers that did not devote adequate resources, such as information technology, staff and training, to their compliance programs. [read post]
20 Nov 2020, 7:29 am by Astarita
The SEC confirmed the award in an order, findingwe positively assessed the following facts: (i) Claimant provided significant and timely information that resulted in the significant expansion of the staff’s investigation and resulting Commission charges; (ii) Claimant assisted in the staff’s investigation by submitting additional information that helped expedite the investigation; and (iii) there are important law enforcement interests here in that Claimant identified… [read post]
13 Nov 2020, 10:10 am by Astarita
The Securities and Exchange Commission today announced an award of over $1.1 million to a whistleblower whose independent analysis led the staff to look at new conduct during an ongoing investigation. [read post]
29 Oct 2020, 11:09 am by Astarita
The Securities and Exchange Commission today announced an award of over $10 million to a whistleblower whose information prompted the opening of an investigation and provided substantial, ongoing assistance to SEC staff throughout the investigation. [read post]
16 Oct 2020, 10:10 am by Astarita
  Informed by decades of staff experience applying the auditor independence framework…Read the Full Press ReleaseHave a securities law question? [read post]
16 Oct 2020, 7:10 am by Astarita
The Securities and Exchange Commission today announced the agenda and panelists for the October 26, 2020, roundtable where Commission staff and FINRA will discuss initial observations on Regulation Best Interest and Form CRS implementation. [read post]
15 Oct 2020, 8:09 am by Astarita
The Securities and Exchange Commission today announced an award of more than $800,000 to a whistleblower whose information caused the staff to open an investigation that led to two successful SEC enforcement actions. [read post]
5 Oct 2020, 9:09 am by Astarita
As World Investor Week (WIW) 2020 kicks off, the Securities and Exchange Commission today announced that staff will engage with Main Street investors to emphasize the importance of two particularly relevant investing topics−planning for life’s unexpected…Read the Full Press ReleaseHave a securities law question? [read post]
30 Sep 2020, 9:09 am by Astarita
  The first whistleblower, who was the first to alert SEC staff of potential…Read the Full Press ReleaseHave a securities law question? [read post]
28 Sep 2020, 1:09 pm by Astarita
The Securities and Exchange Commission today announced October 26 as the date for its roundtable at which Commission staff and the Financial Industry Regulatory Authority (FINRA) will discuss initial observations on Regulation Best Interest and…Read the Full Press ReleaseHave a securities law question? [read post]
5 Aug 2020, 10:09 am by Astarita
The Securities and Exchange Commission today published procedures setting forth a staff-led process to nominate candidates for appointment to the Investor Advisory Committee. [read post]
1 Jul 2020, 4:09 pm by Astarita
The Securities and Exchange Commission today announced the agenda and panelists for the July 9, 2020 staff roundtable on investing in emerging markets, including China. [read post]
16 Jun 2020, 6:10 am by Astarita
Former acting White House Chief of Staff Mick Mulvaney sold up to $550,000 in securities as the coronavirus was hitting the U.S. and President Trump was providing upbeat statements about the strength of the U.S. economy.Mulvaney’s trades, disclosed in a filing as he left the White House, comes as Sen. [read post]
11 Jun 2020, 1:14 pm by Astarita
The firm's partners are former broker-dealer and SEC Staff attorneys. [read post]
29 May 2020, 5:25 am by Astarita
The SEC is investigating public companies who took PPP loans to ensure that their PPP applications are consistent with their public filings.Bloomberg News is reporting that the SEC has Th sent letters to some recipients of the forgivable loans seeking information about how the funds were spent and copies of loan applicationsThe news service reported that nearly 200 public companies received PPP funds at that level, but the SEC’s inquiry encompasses fewer than a dozen of those… [read post]
19 May 2020, 5:54 am by Astarita
The Securities and Exchange Commission today announced July 9 as the date for its staff roundtable to hear the views of investors, other market participants, regulators, and industry experts on the risks of investing in emerging markets, including…Read the Full Press ReleaseHave a securities law question? [read post]
11 May 2020, 3:26 pm by Astarita
Chairman Clayton's executive staff is responsible for advising the…Read the Full Press ReleaseHave a securities law question? [read post]
26 Mar 2020, 12:07 pm by Astarita
If you have an in-person hearing or mediation session that is postponed as a result of this decision, you will be contacted by FINRA staff to reschedule or discuss remote scheduling options.Please note that this decision does not affect other case deadlines. [read post]