Search for: "SEClaw Staff" Results 41 - 60 of 223
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
26 Jun 2019, 11:05 am by Astarita
  I am honored by the opportunity and excited to continue serving with Chairman Clayton, the Commissioners and the talented staff to advance the SEC’s important mission. [read post]
26 Jun 2019, 11:05 am by Astarita
Memon has served as the SEC’s Deputy Chief of Staff since May 2017. [read post]
24 Jun 2019, 9:13 am by Astarita
  Office staff, among other things, review all documents submitted to the Commission, track documents submitted to the Commission, schedule Commission meetings in accordance with the Government in the Sunshine Act, maintain records of official Commission actions, and provide public notice of those actions on the website and in the Federal Register. [read post]
19 Jun 2019, 3:43 pm by Astarita
Senior SEC staff are expected to join the Chairman at this event.Later that evening, Chairman Clayton will discuss the package of rules and interpretations adopted by the Commission on June 5, which were designed to enhance and clarify the standards of conduct applicable to broker-dealers and investment advisers, help retail investors better understand and compare the services offered and make an informed choice of the relationship best suited to their needs and circumstances, and… [read post]
18 Jun 2019, 10:13 am by Astarita
 “This rulemaking reflects the staff’s extensive experience and judgment, and I thank them for their continued commitment to retrospective review,” said SEC Chairman Jay Clayton. [read post]
18 Jun 2019, 9:09 am by Astarita
  It also considers, among other things, whether:  The limitations on who can invest in certain exempt offerings, or the amount they can invest, provide an appropriate level of investor protection or pose an undue obstacle to capital formation or investor access to investment opportunitiesThe Commission should take steps to facilitate a company’s ability to transition from one offering to another or to a registered offeringThe Commission should expand companies’ ability to… [read post]
17 Jun 2019, 12:23 pm by Astarita
Glazer said, "I am happy to return to the Division of Investment Management and to work with Dalia Blass and the Division's dedicated staff. [read post]
10 Jun 2019, 11:42 am by Astarita
The latest additions are firms that SEC staff found were providing inaccurate information about their affiliation, location, or registration. [read post]
6 Jun 2019, 1:44 pm by Astarita
”Prior to joining the SEC’s Division of Enforcement as a staff attorney in April 2000, Mr. [read post]
5 Jun 2019, 12:59 pm by Astarita
“Today’s filings reflect the work of a dedicated SEC staff who, after moving swiftly on behalf of investors to freeze assets last year, continued investigating to uncover the alleged fraud. [read post]
5 Jun 2019, 9:29 am by Astarita
 The interpretation reflects how the Commission and its staff have applied and enforced the law in this area, and inspected for compliance, for decades. [read post]
3 Jun 2019, 10:51 am by Astarita
 It is a privilege to get to continue to work alongside the terrific OMS staff to ensure that the municipal securities market operates fairly, efficiently, and consistently with the long-term interests of Main Street investors. [read post]
3 Jun 2019, 9:41 am by Astarita
I look forward to working with him, the SEC staff, and our fellow financial regulators to continue to counter the cyber threat and increase the SEC's security and resiliency posture,” said Mr. [read post]
30 May 2019, 12:06 pm by Astarita
""It is an honor to continue to work on behalf of the agency and investors, and to lead the deeply talented and dedicated staff of the Office of the Chief Accountant," said Mr. [read post]
28 May 2019, 2:14 pm by Astarita
Schneider joined the SEC staff in 2005 as a staff attorney in the San Francisco office. [read post]
9 May 2019, 7:44 am by Unknown
These SRCs, among other things, are required to comply with the requirement that an outside independent auditor attest to the effectiveness of their internal control over financial reporting.When the Commission revised the SRC definition, the Chairman directed the staff to formulate recommendations to the Commission for possible rule amendments that, if adopted, would appropriately redefine the issuers that are designated as accelerated filers and thereby promote capital formation. [read post]
3 May 2019, 6:57 am by Unknown
  “The staff’s work on the proposed rule amendments reflects years of experience. [read post]
2 May 2019, 2:06 pm by Unknown
Aderton joined the SEC in 2008 as a staff attorney in the Division of Enforcement. [read post]
30 Apr 2019, 8:46 am by Unknown
 Participants will explore ways to encourage the efficient flow of capital and expand investment opportunities.The panelists will include:Cathy Connett - CEO and Managing Partner, Sofia Fund, Minneapolis, MNBob Crutchfield - Managing Director, BrightEdge Fund, Atlanta, GAHarold Hughes - Founder and CEO, Bandwagon Fan Club, Greenville, SCNic Wilson - Co-Founder and CEO, Anglr, Pittsburgh, PASEC Chairman Jay Clayton, Commissioners, and staff will participate in the event. [read post]