Search for: "SEClaw Staff" Results 81 - 100 of 216
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11 Jan 2016, 11:12 am by Mark Astarita
Riewe began her SEC career in 2005 as a staff attorney in the Enforcement Division in Washington D.C. and was promoted to branch chief in 2008. [read post]
25 Sep 2017, 3:16 pm by Mark Astarita
  The Cyber Unit will consolidate and advance these efforts, and include staff from across the Enforcement Division.Robert A. [read post]
10 Aug 2016, 8:34 am by Mark Astarita
  BlueLinx further agreed to certify to Enforcement Division staff that it has complied with its undertakings.The SEC’s investigation was conducted by Tara Kelly and V.V. [read post]
14 Jul 2016, 11:26 am by Mark Astarita
 AGENDA9:30 a.m.Co-Chairs Stephen Graham and Sara Hanks call meeting to order Introductory Remarks by Chair Mary Jo White and Commissioner Kara Stein10:00 a.m.Consider “Accredited Investor” Definition Recommendation as discussed at May 18th Meeting10:30 a.m.Regulation A+ Update and ReviewUpdate from SEC Division of Corporation Finance staff on the usage of Regulation A+ in its first yearPresentation from Paul Elio, CEO and Chairman of Elio Motors Inc., a company that… [read post]
3 Oct 2016, 8:02 am by Mark Astarita
“Municipal advisors will benefit from hearing first-hand from our staff. [read post]
19 Sep 2017, 12:35 pm by Mark Astarita
  I am extremely proud of the work by the Division of Trading and Markets and the dedication of its staff. [read post]
9 Jul 2019, 8:06 am by Astarita
 On behalf of all of my colleagues, Commissioners and staff alike, I am pleased to welcome her back. [read post]
3 Jul 2019, 8:05 am by Astarita
Teotia will serve as the principal advisor to the Commission on accounting and auditing matters, and will lead the 45 dedicated staff in the Commission’s Office of the Chief Accountant. [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 Aug 2016, 3:01 pm by Mark Astarita
The Securities and Exchange Commission today announced that it is seeking public comment on disclosure requirements in Subpart 400 of Regulation S-K, including those relating to management, certain security holders, and corporate governance matters.The request for comment is part of the Disclosure Effectiveness Initiative, which is a broad-based staff review of the disclosure requirements and the presentation and delivery of the disclosures. [read post]
6 Aug 2013, 6:30 am by Mark Astarita
Bank Staffs Up UHNW Team in San Francisco [read post]
7 Dec 2017, 8:45 am by Mark Astarita
In addition, FINRA staff has been working with the North American Securities Administrators Association (NASAA) on various expungement issues, including potential amendments to the existing regulatory review process.The text of the proposed amendments can be found at www.finra.org/notices/17-42. [read post]
11 Jun 2020, 1:14 pm by Astarita
The firm's partners are former broker-dealer and SEC Staff attorneys. [read post]
29 Jan 2018, 8:02 am by Mark Astarita
The situation creates real-life kangeroo courts, where the rules of evidence are tossed out the window, the SEC staff can put in any "evidence" it wants, including double and triple hearsay - witnesses testifying that someone told them that someone else said that the broker said something. [read post]
29 Jan 2015, 12:39 pm by Mark Astarita
No discovery, the use of double and triple hearsay, reliance on their own staff as independent expert witnesses and reliance on double and triple hearsay on significant issues is not proper, appropriate or fair. [read post]
19 Jul 2013, 6:00 am by Richard Kummer
They provide an opportunity for the SEC staff to identify common issues found in related examinations or investigations and discuss industry practices, including how compliance professionals have addressed such matters.The Compliance Outreach Program was created to promote open communication on mutual fund, investment adviser, and broker-dealer compliance issues. [read post]
19 Aug 2014, 2:42 pm by Mark Astarita
It seems that medical marijuana is that next new thing.We wrote about marijuana stock scams last year, and just last week the SEC filed charges against promoters who the Staff believes were "pumping and dumping" stocks of companies in the medical marijuana business. [read post]