Search for: "SEClaw Staff" Results 41 - 60 of 218
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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]
21 Mar 2016, 10:39 am by Mark Astarita
  He advises the Chair, Commissioners, and SEC staff on legislative matters, provides technical assistance on securities-related legislation to congressional committees and staff, and assists in preparing SEC testimony for congressional hearings. [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]
25 Jan 2012, 10:29 am by SECLaw Staff
The SEC announced that a Texas-based former audit partner at accounting and consulting firm BDO USA LLP has pled guilty to criminal charges for lying to SEC enforcement staff during investigative testimony. [read post]
21 Sep 2017, 1:25 pm by Mark Astarita
  We encourage companies to contact the division staff if additional interpretive questions arise as the compliance date approaches. [read post]
24 Jul 2017, 8:41 am by Mark Astarita
Wood 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, 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]
29 Oct 2012, 5:40 am by Mark Astarita
., Goldman Sachs and other Wall Street firms are moving operations to other cities and have staff work from home as Hurricane Sandy’s arrival in New York forces evacuations.Citigroup and Goldman really didn't have much choice - their downtown Manhattan locations are in an evacuation zone.Predictions are that Sandy could flood parts of the city, including the subway, which shut down last night at 7 PM.More... [read post]
3 Aug 2009, 4:00 am
  The Guide, authored by Professor Jill Gross, the Director of the school's Investor Rights Clinic, and Clinic Staff  Attorney  Alice Oshins,  is designed to help individual investors with modest investment accounts. [read post]
29 Jan 2019, 11:11 am by Mark Astarita
As a new alert from the SEC Office of Compliance Inspections and Examinations makes clear, examiners are paying close attention to advisers and staff who text, send instant messages and use personal emails to communicate with clients.More from Financial Advisor Online -https://www.fa-mag.com/news/the-sec-is-actively-monitoring-your-online-communications--are-you-42654.html [read post]
25 Mar 2016, 8:52 am by Mark Astarita
  The SEC staff is aware of increased stock promotion of companies that claim to be developing products or services relating to the Zika virus.Investor Alert: Zika Crisis May Give Rise to Investment Scams: "Investor Alert: Zika Crisis May Give Rise to Investment Scams" [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]
27 Feb 2020, 2:09 pm by Astarita
Gibson joined the SEC in 2008 as a staff attorney in the Division of Enforcement in the Philadelphia office. [read post]
24 Jan 2020, 12:20 pm by Astarita
Two annual SEC staff reports released today highlight the important work of the Office of Credit Ratings in examining and monitoring nationally recognized statistical rating organizations (NRSROs). [read post]
9 Mar 2016, 1:33 pm by Mark Astarita
  “Attendees will learn what other firms are doing to comply with certain regulations and the SEC staff’s perspective regarding interpreting, examining, and enforcing these regulations. [read post]
16 Mar 2020, 11:33 am 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]
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]
15 Oct 2009, 8:52 am
A Wells Notice is a device used by the SEC to advise a prospective defendant that the Staff is going to make a recommendation to the Commission to commence proceeding. [read post]