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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]
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]
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]
24 Oct 2017, 9:33 am by Mark Astarita
However, when the SEC decides not to file a proceeding, there are limits on who the Staff is required to notify.Specifically,  the Staff must notify anyone who: is identified in the caption of the formal order; submitted or was solicited to submit a Wells submission; or to the staff’s knowledge, reasonably believes that the staff was considering recommending an enforcement action against them.Unfortunately, witnesses who have received… [read post]
11 Oct 2017, 9:19 am by Mark Astarita
"The proposal reflects changes based on recommendations in the staff's FAST Act Report and amendments developed as part of a broader review of the Commission's disclosure system. [read post]
10 Oct 2017, 1:34 pm by Mark Astarita
Jospin’s watch, the Atlanta office’s exam staff has increased collaboration with enforcement and generated substantial referrals, including those that led to several of the actions referenced above. [read post]
2 Oct 2017, 9:22 am by Mark Astarita
” SEC staff outreach events include: an information session with seniors answering questions on investing, retirement and ways to protect against fraud, a Twitter chat about the various issues surrounding investing with robo-advisers, a Thrift Savings Plan (TSP) program for federal employees covering TSP distribution options, withdrawals, fees and how to avoid scams, and numerous saving and investing presentations for students and military service members.For a list of other SEC… [read post]
2 Oct 2017, 8:11 am by Mark Astarita
  Chairman Clayton also has directed the staff to take a number of steps designed to strengthen the agency’s cybersecurity risk profile, with an initial focus on EDGAR. [read post]
28 Sep 2017, 3:27 pm by Mark Astarita
The Commission staff will address these and any disclosure-related issues on a case-by-case basis in light of their fact-specific nature. [read post]
28 Sep 2017, 12:22 pm by Mark Astarita
Calamari began his SEC tenure as a staff attorney and rose through the ranks to his leadership position. [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]
21 Sep 2017, 1:25 pm by Mark Astarita
  We encourage companies to contact the division staff if additional interpretive questions arise as the compliance date approaches. [read post]
20 Sep 2017, 10:05 am by Mark Astarita
 Tom's significant industry experience and leadership prior to and at the SEC will be invaluable to the experienced and dedicated staff in the New York examination program. [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]
15 Sep 2017, 11:51 am by Mark Astarita
Joseph has led a team of over 130 accountants, examiners, attorneys, and support staff responsible for the examination of investment companies and investment advisers in New York and New Jersey. [read post]
13 Sep 2017, 1:42 pm by Mark Astarita
 Entities and investment professionals affected by Hurricanes Harvey and Irma are encouraged to contact Commission staff with questions and concerns:Office of Compliance Inspections and Examinations staff in the Commission's Atlanta Regional Office can be reached by phone at 404-842-7600 or email at atlanta@sec.govOffice of Compliance Inspections and Examinations staff in the Commission's Miami Regional Office can be reached by phone at 305-982-6300 or… [read post]
11 Sep 2017, 2:40 pm by Mark Astarita
  I would like to thank my colleagues, including Commissioners Piwowar and Stein and the staff of the Commission, for their leadership in achieving this important result. [read post]
11 Sep 2017, 9:31 am by Mark Astarita
”MSRB Executive Director Lynnette Kelly said, “This program is consistent with the MSRB’s goal of assisting municipal advisors in understanding and complying with their regulatory obligations, and municipal advisors will benefit from getting first-hand feedback from our staff. [read post]