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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]
29 Apr 2019, 1:10 pm by Unknown
In efforts to hide Meli's role, Siniscalchi allegedly instructed staff not to include Meli on emails to investors, and referred to Meli as "Keyser Soze," in reference to a fictional movie character from the movie The Usual Suspects who secretly operated as a crime kingpin. [read post]
24 Apr 2019, 7:26 am by Unknown
The Securities and Exchange Commission today announced the agenda for the forum that its staff is hosting on May 31 to discuss distributed ledger technology and digital assets.The 2019 FinTech Forum, which will be hosted by the SEC's Strategic Hub for Innovation and Financial Technology (FinHub), will begin at 9:30 a.m. [read post]
15 Apr 2019, 8:05 am by Unknown
They will share responsibility for staff legal guidance by the Chief Counsel’s Office.Ms. [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]
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 Mar 2019, 9:01 am by Mark Astarita
The SEC is seeking a judgment ordering permanent injunctive relief, disgorgement plus prejudgment interest, and civil monetary penalties against Diver.After conducting a swift investigation, the Commission staff referred Diver’s misconduct to the U.S. [read post]
25 Mar 2019, 2:06 pm by Mark Astarita
  He will report directly to Chairman Clayton and will work closely with staff across the agency, including in the Divisions of Trading and Markets, Investment Management, and Economic and Risk Analysis, and the Office of Compliance Inspections and Examinations, among others. [read post]
20 Mar 2019, 5:16 pm by Mark Astarita
  Funds that file Form 24F-2 in connection with paying their registration fees, including mutual funds and exchange-traded funds (as well as interval funds under the proposed amendments), would be required to submit the form in XML format.Periodic Reporting RequirementsTo support the proposed short-form registration statement framework, affected funds filing a short-form registration statement would be required to include certain key prospectus disclosure in their annual reports, as well… [read post]
20 Mar 2019, 2:51 pm by Mark Astarita
“Investors will benefit from the SEC staff’s exemplary work to improve disclosure,” said SEC Chairman Jay Clayton. [read post]
15 Mar 2019, 12:26 pm by Mark Astarita
  This action evidences the vigilance of the SEC’s exam and enforcement staff in identifying investments advisers that exploit client relationships and harm investors. [read post]
15 Mar 2019, 8:26 am by Mark Astarita
The Securities and Exchange Commission today announced that its staff will host a public forum focusing on distributed ledger technology (DLT) and digital assets on May 31, 2019. [read post]
12 Mar 2019, 9:58 am by Mark Astarita
 In addition to paying more than $6 million in disgorgement and prejudgment interest, Lumber Liquidators agreed to cease and desist from future violations of the charged provisions and cooperate fully with any further investigation, litigation or other proceeding by the Commission staff relating to this matter.In a parallel criminal action filed today, Lumber Liquidators entered into a deferred prosecution agreement with the Justice Department’s Fraud Section and the U.S. [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]
8 Aug 2018, 9:35 am by Mark Astarita
  The latest additions are firms that the SEC staff found were providing inaccurate information about their affiliation, location, or registration. [read post]
8 Aug 2018, 9:35 am by Mark Astarita
  The latest additions are firms that the SEC staff found were providing inaccurate information about their affiliation, location, or registration. [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]
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]