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26 Mar 2020, 12:07 pm
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 2020, 7:14 am
---------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]
16 Mar 2020, 11:33 am
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]
13 Mar 2020, 2:38 pm
The Securities and Exchange Commission today announced that the SEC staff has published guidance to assist public companies, investment companies, shareholders, and other market participants affected by COVID-19 with their upcoming annual shareholder…Read the Full Press ReleaseHave a securities law question? [read post]
27 Feb 2020, 2:09 pm
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
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]
30 Dec 2019, 9:48 am
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
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
“Today’s proposed amendments follow from the staff…Read the Full Press ReleaseHave a securities law question? [read post]
4 Nov 2019, 2:36 pm
Today the staff of the U.S. [read post]
4 Nov 2019, 12:01 pm
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
SEC staff will also…Read the Full Press ReleaseWant to talk to a securities lawyer? [read post]
26 Sep 2019, 11:30 pm
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
The notice references, in broad-strokes, the violation that the Staff believes has occurred. [read post]
23 Jul 2019, 11:27 am
“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
"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
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
"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
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
”“I appreciate the staff’s collaboration with CFTC staff on this proposal,” said SEC Commissioner Hester Peirce. [read post]
