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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]
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]
31 Aug 2017, 2:11 pm by Mark Astarita
"It is an enormous honor to return to the SEC to work with Chairman Clayton, Commissioners Stein and Piwowar, and the talented and hard-working staff in the Division of Investment Management and across the agency," said Ms. [read post]
30 Aug 2017, 2:48 pm by Mark Astarita
 Entities and investment professionals affected by Hurricane Harvey are encouraged to contact Commission staff with questions and concerns: Office of Compliance Inspections and Examinations staff in the Commission's Fort Worth Regional Office can be reached by phone at 817-978-3821 or email at,Division of Corporation Finance staff can be reached by phone at 202-551-3500 or via online submission at,Division of Investment… [read post]
18 Aug 2017, 2:35 pm by Mark Astarita
 Until such time, the SAB states that registrants should continue referring to prior staff guidance on revenue recognition.The statements in Staff Accounting Bulletins are not Commission rules or interpretations nor are they published as bearing the Commission's official approval. [read post]
16 Aug 2017, 12:35 pm by Mark Astarita
  Enhanced detection capabilities enabled SEC enforcement staff to spot the unusual trading activities. [read post]
15 Aug 2017, 8:08 am by Mark Astarita
  KPMG and the engagement partner John Riordan failed to properly assess the risks associated with accepting Miller Energy as a client and did not properly staff the audit, which overlooked the overvaluation of certain oil and gas interests that the company had purchased in Alaska the previous year. [read post]
8 Aug 2017, 1:35 pm by Mark Astarita
The SEC Division of Economic and Risk Analysis (DERA) today published a report describing trends in primary securities issuance and secondary market liquidity, and assessing how those trends relate to post-crisis regulatory reforms. [read post]
3 Aug 2017, 8:08 am by Mark Astarita
Grim joined the SEC in 1995 as a Staff Attorney in the Division’s Office of Investment Company Regulation. [read post]
2 Aug 2017, 11:13 am by Mark Astarita
Esau will direct a staff of approximately 40 accountants, examiners, and attorneys responsible for the examination of broker-dealers, investment companies, investment advisers, and transfer agents across five southeastern states (Alabama, Georgia, North Carolina, South Carolina, and Tennessee). [read post]
24 Jul 2017, 8:41 am by Mark Astarita
Wood will advise the Chairman, Commissioners, and SEC staff on legislative matters, provide technical assistance on securities-related legislation to congressional committees and staff, assist in preparing SEC testimony for congressional hearings, and coordinate with other government entities. [read post]
21 Jul 2017, 12:58 pm by Mark Astarita
 As a result, a number of foreign banking entities, foreign government officials, and other market participants have expressed concern about possible unintended consequences and extraterritorial impact.The staff of the agencies are considering ways in which the implementing regulations may be amended, or other appropriate action may be taken. [read post]
27 Feb 2017, 9:00 am by Mark Astarita
Every review by the SEC Staff and Advisory Committees have recommending tightening the accredited investor definition, not removing it.But here is Mr. [read post]
4 Nov 2016, 8:20 am by Mark Astarita
As of October 19, 2016, FINRA's Office of Dispute Resolution (ODR) staff had discussed all of the recommendations with the National Arbitration and Mediation Committee (NAMC), FINRA's Board Advisory Committee on the dispute resolution forum. [read post]
3 Oct 2016, 8:02 am by Mark Astarita
“Municipal advisors will benefit from hearing first-hand from our staff. [read post]