Search for: "SEClaw Staff"
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1 Apr 2019, 1:33 pm
The SEC staff is committed to empowering Main Street investors and enhancing their understanding of financial principles and practices. [read post]
31 Mar 2016, 11:36 am
In a June 4, 2012 meeting, EPA staff told Navistar that it had serious concerns about this application as well and the next day informed Navistar in writing that the engine as currently designed was “unlikely” to be certified. [read post]
18 Mar 2019, 12:33 pm
Before joining the SEC staff, Mr. [read post]
22 Jul 2016, 12:10 pm
Martinez began working in the SEC’s Enforcement Division in 2003 as a staff attorney and senior counsel. [read post]
3 Feb 2014, 12:00 pm
After the SEC staff contacted Scottrade questioning the data, the firm informed the agency that a computer coding error had resulted in the inadvertent omission of the trades. [read post]
3 Aug 2017, 8:08 am
Grim joined the SEC in 1995 as a Staff Attorney in the Division’s Office of Investment Company Regulation. [read post]
18 Jan 2021, 3:37 pm
The whistleblower continued to provide helpful assistance by meeting with investigative staff in-person, providing documents, and identifying witnesses. [read post]
11 Jan 2016, 11:12 am
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]
9 Feb 2016, 1:00 pm
Patel began working in the Los Angeles office in 2001 as a staff attorney and became an Assistant Director in 2009. [read post]
25 Sep 2017, 3:16 pm
The Cyber Unit will consolidate and advance these efforts, and include staff from across the Enforcement Division.Robert A. [read post]
9 Jan 2014, 6:02 am
Prior to joining the SEC enforcement staff, Mr. [read post]
14 Jul 2016, 11:26 am
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]
10 Aug 2016, 8:34 am
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]
9 Jul 2019, 8:06 am
On behalf of all of my colleagues, Commissioners and staff alike, I am pleased to welcome her back. [read post]
3 Oct 2016, 8:02 am
“Municipal advisors will benefit from hearing first-hand from our staff. [read post]
19 Sep 2017, 12:35 pm
I am extremely proud of the work by the Division of Trading and Markets and the dedication of its staff. [read post]
3 Jul 2019, 8:05 am
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
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
The latest additions are firms that the SEC staff found were providing inaccurate information about their affiliation, location, or registration. [read post]
7 Dec 2017, 8:45 am
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]
