Search for: "SEClaw Staff" Results 61 - 80 of 228
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5 Oct 2020, 9:09 am by Astarita
As World Investor Week (WIW) 2020 kicks off, the Securities and Exchange Commission today announced that staff will engage with Main Street investors to emphasize the importance of two particularly relevant investing topics−planning for life’s unexpected…Read the Full Press ReleaseHave a securities law question? [read post]
16 Oct 2020, 10:10 am by Astarita
  Informed by decades of staff experience applying the auditor independence framework…Read the Full Press ReleaseHave a securities law question? [read post]
16 Oct 2020, 7:10 am by Astarita
The Securities and Exchange Commission today announced the agenda and panelists for the October 26, 2020, roundtable where Commission staff and FINRA will discuss initial observations on Regulation Best Interest and Form CRS implementation. [read post]
13 Nov 2020, 10:10 am by Astarita
The Securities and Exchange Commission today announced an award of over $1.1 million to a whistleblower whose independent analysis led the staff to look at new conduct during an ongoing investigation. [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]
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]
14 Apr 2011, 6:02 am by Mark J. Astarita, Esq.
While the type and frequency of enforcement cases that are filed are largely under the control and selection of the SEC Staff, there have been a rash of insider trading cases in recent weeks.Yesterday the SEC charged a former hedge fund portfolio manager with insider trading in a bio-pharmaceutical company based on confidential information about negative results of the company’s clinical drug trial.The SEC alleges that Dr. [read post]
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]
23 Nov 2020, 2:33 pm by Astarita
The Compliance Rule requires advisers to consider their fiduciary and regulatory obligations under the Advisers Act and to formalize policies and procedures to address them.The Alert details common deficiencies, including:OCIE staff observed advisers that did not devote adequate resources, such as information technology, staff and training, to their compliance programs. [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]