Search for: "SEClaw Staff" Results 61 - 80 of 216
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11 Apr 2018, 8:34 am by Mark Astarita
Making matters worse, the Staff will not tell you that they are calling customers, or who they called.While it is undoubtedly true that the Staff has good intentions, and does not attempt to mislead the customer, many Staff members are inexperienced in the industry, and others are simply uninformed. [read post]
17 Jun 2016, 4:43 pm by Mark Astarita
The staff guidance states that delays of less than one millisecond are at a de minimis level. [read post]
11 May 2016, 8:00 am by Mark Astarita
  At the May 18 meeting, the committee will discuss the recent SEC staff report on the accredited investor definition, followed by a discussion of developments in unregistered securities offerings under Regulation D. [read post]
8 Mar 2016, 8:33 am by Mark Astarita
Driscoll will manage the new office and the Investment Adviser/Investment Company examination staff based in Washington, D.C. [read post]
25 May 2018, 12:00 pm by SEClaw Staff
The attorneys at Sallah Astarita & Cox include experienced former SEC staff attorneys, and securities attorneys with decades of experience in securities manipulation cases. [read post]
3 Dec 2015, 10:04 am by Mark Astarita
While it has been modified a bit (to remove the investor's home from the net worth calculation) the net worth and income figures have not been changed since 1982.According to InvestmentNews, in an appearance before the House Financial Services Committee, SEC Chairman White said a staff study of the accredited investor standard would be released sometime in the next three to four months. [read post]
16 Jun 2020, 6:10 am by Astarita
Former acting White House Chief of Staff Mick Mulvaney sold up to $550,000 in securities as the coronavirus was hitting the U.S. and President Trump was providing upbeat statements about the strength of the U.S. economy.Mulvaney’s trades, disclosed in a filing as he left the White House, comes as Sen. [read post]
28 Mar 2019, 2:06 pm by Mark Astarita
Gibb’s fraud was discovered by the SEC’s San Francisco Office of Compliance Inspections and Examinations staff when they conducted an examination of Sweetwater. [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]
17 Feb 2016, 1:02 pm by Mark Astarita
Kahl said, “I look forward to working with Marc, the OCIE leadership team, and the talented staff of the Chief Counsel’s Office. [read post]
27 Mar 2018, 6:30 am by Mark Astarita
  In conjunction with this extension, the staff issued new guidance intended to assist funds in complying with the liquidity rule’s classification requirements. [read post]
10 Feb 2016, 11:25 am by Mark Astarita
  The CFTC subsequently requested comment on the staff advisory and both the staff advisory and comments received on it are under review at the CFTC.What’s Next? [read post]
1 Apr 2019, 1:33 pm by Mark Astarita
The SEC staff is committed to empowering Main Street investors and enhancing their understanding of financial principles and practices. [read post]
31 Mar 2016, 11:36 am by Mark Astarita
  In a June 4, 2012 meeting, EPA staff told Navistar that it had serious concerns about this application as well and the next day informed Navistar in writing that the engine as currently designed was “unlikely” to be certified. [read post]
3 Feb 2014, 12:00 pm by Mark Astarita
After the SEC staff contacted Scottrade questioning the data, the firm informed the agency that a computer coding error had resulted in the inadvertent omission of the trades. [read post]
3 Aug 2017, 8:08 am by Mark Astarita
Grim joined the SEC in 1995 as a Staff Attorney in the Division’s Office of Investment Company Regulation. [read post]
22 Jul 2016, 12:10 pm by Mark Astarita
Martinez began working in the SEC’s Enforcement Division in 2003 as a staff attorney and senior counsel. [read post]
9 Feb 2016, 1:00 pm by Mark Astarita
Patel began working in the Los Angeles office in 2001 as a staff attorney and became an Assistant Director in 2009. [read post]