Search for: "SEClaw Staff" Results 21 - 40 of 216
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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]
13 Sep 2017, 1:42 pm by Mark Astarita
 Entities and investment professionals affected by Hurricanes Harvey and Irma are encouraged to contact Commission staff with questions and concerns:Office of Compliance Inspections and Examinations staff in the Commission's Atlanta Regional Office can be reached by phone at 404-842-7600 or email at atlanta@sec.govOffice of Compliance Inspections and Examinations staff in the Commission's Miami Regional Office can be reached by phone at 305-982-6300 or… [read post]
30 Aug 2017, 2:48 pm by Mark Astarita
 Entities and investment professionals affected by Hurricane Harvey are encouraged to contact Commission staff with questions and concerns: Office of Compliance Inspections and Examinations staff in the Commission's Fort Worth Regional Office can be reached by phone at 817-978-3821 or email at dfw@sec.gov,Division of Corporation Finance staff can be reached by phone at 202-551-3500 or via online submission at http://ift.tt/2wTOZJt,Division of Investment… [read post]
8 Aug 2017, 1:35 pm by Mark Astarita
The SEC Division of Economic and Risk Analysis (DERA) today published a report describing trends in primary securities issuance and secondary market liquidity, and assessing how those trends relate to post-crisis regulatory reforms. [read post]
16 Oct 2014, 7:00 am by Mark Astarita
The issues raised by those criticisms have grown in significance in recent years as the SEC staff has used vague and overbroad subpoenas and requests for documents in the age of email and electronically stored information. [read post]
13 Jan 2014, 6:04 am by Mark Astarita
The SEC staff may provide periodic updates to the interpretive guidance issued today. [read post]
21 Mar 2020, 7:14 am by Astarita
 ---------Sallah Astarita & Cox, LLC is a national securities law firm whose partners are former SEC Staff Attorneys and Broker-Dealer attorneys, representing investors and financial professionals nationwide. [read post]
4 Nov 2016, 8:20 am by Mark Astarita
As of October 19, 2016, FINRA's Office of Dispute Resolution (ODR) staff had discussed all of the recommendations with the National Arbitration and Mediation Committee (NAMC), FINRA's Board Advisory Committee on the dispute resolution forum. [read post]
5 Nov 2019, 10:21 am by Astarita
“Today’s proposed amendments follow from the staff…Read the Full Press ReleaseHave a securities law question? [read post]
30 Dec 2019, 9:48 am by Astarita
The Securities and Exchange Commission today announced that it is proposing amendments to codify certain staff consultations and modernize certain aspects of its auditor independence framework. [read post]
2 Oct 2017, 8:11 am by Mark Astarita
  Chairman Clayton also has directed the staff to take a number of steps designed to strengthen the agency’s cybersecurity risk profile, with an initial focus on EDGAR. [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]
4 Apr 2013, 6:30 am by Mark Astarita
The SEC Staff considered that post to be a violation of Regulation FD. [read post]
11 Sep 2017, 2:40 pm by Mark Astarita
  I would like to thank my colleagues, including Commissioners Piwowar and Stein and the staff of the Commission, for their leadership in achieving this important result. [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]