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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]
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]
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]
5 Nov 2014, 12:12 pm by Mark Astarita
When we deal with FINRA Staff in a regulatory examination, and produce such material, we can rely on the process, and the integrity of the Staff, to protect the confidentiality of that information. [read post]
28 Jun 2016, 11:43 am by Mark Astarita
She began working in the Los Angeles office in 2005 as a staff attorney in the Division of Enforcement and joined the Asset Management Unit when it was formed in 2010. [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]
31 Aug 2017, 2:11 pm by Mark Astarita
I look forward to working with my new team, agency staff, and the Commissioners as we work to fulfill the SEC’s mission. [read post]
20 Jan 2016, 1:02 pm by Mark Astarita
Nash has played a leadership role in the SEC staff’s active engagement with the Financial Stability Oversight Council in the analysis of potential financial stability risks posed by asset management activities and products. [read post]
22 Jul 2016, 10:34 am by Mark Astarita
He worked closely with PCAOB staff to promote the evolution of root cause analysis by auditors and the PCAOB to obtain a deeper understanding of the underlying causes of recurring audit deficiencies. [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]
15 Jul 2019, 7:48 am by Astarita
  The RMBS investigation and ensuing litigation was conducted by staff in the Complex Financial Instruments Unit and the Boston Regional Office, including Susan Curtin, Kerry Dakin, Rua Kelly, Al Day and Celia Moore. [read post]
15 Jul 2019, 1:03 pm by Astarita
"In addition, today the SEC is issuing staff guidance regarding the ability of Main Street investors to participate in these offerings. [read post]