Search for: "SEClaw Staff" Results 21 - 40 of 223
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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]
5 Dec 2019, 12:10 pm by Astarita
 The Forum is a unique event attended by SEC Commissioners and staff in which members of the public and…Read the Full Press ReleaseHave a securities law question? [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]
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]
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]
26 Sep 2019, 11:30 pm by Astarita
The firm has 700 staff and offices in Boston, Chicago, London, Los Angeles, New York, San Francisco, Silicon Valley, and Washington. [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]
23 Jul 2019, 11:27 am by Astarita
 “I am truly honored and excited to continue working with this outstanding team in my new role, and I look forward to helping support the many dedicated and talented staff in the Division of Trading and Markets and across the Commission who are carrying out tremendous responsibilities every day for the benefit of our capital markets and investors. [read post]
15 Jul 2019, 1:03 pm by Astarita
"In addition, today the SEC is issuing staff guidance regarding the ability of Main Street investors to participate in these offerings. [read post]
15 Jul 2019, 7:48 am by Astarita
  The RMBS investigation and ensuing litigation was conducted by staff in the Complex Financial Instruments Unit and the Boston Regional Office, including Susan Curtin, Kerry Dakin, Rua Kelly, Al Day and Celia Moore. [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]
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]
9 Jul 2019, 2:10 pm by Astarita
”“I appreciate the staff’s collaboration with CFTC staff on this proposal,” said SEC Commissioner Hester Peirce. [read post]
9 Jul 2019, 8:06 am by Astarita
 On behalf of all of my colleagues, Commissioners and staff alike, I am pleased to welcome her back. [read post]
3 Jul 2019, 8:05 am by Astarita
Teotia will serve as the principal advisor to the Commission on accounting and auditing matters, and will lead the 45 dedicated staff in the Commission’s Office of the Chief Accountant. [read post]
27 Jun 2019, 9:20 am by Astarita
 The order recognizes that State Street self-reported its conduct to the Commission and that it provided substantial cooperation to the Commission staff during the investigation.The SEC's investigation was conducted by Michael Moran, Eric Forni, Jonathan Allen, and Amy Gwiazda of the Boston Regional Office, as well as Ruth Anne Heselbarth, formerly of the Boston Regional Office.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA… [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]
26 Jun 2019, 12:50 pm by Astarita
Pandol will advise the Chairman, Commissioners, and SEC staff on legislative matters, provide technical assistance on securities-related legislation to congressional committees and staff, assist in preparing SEC testimony for congressional hearings, and coordinate with other government entities. [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]