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28 Sep 2016, 12:54 pm by Mark Astarita
Norberg said, “It has been an honor serving in the roles of deputy and acting chief and working with staff extremely dedicated to the mission. [read post]
28 Sep 2016, 11:44 am by Mark Astarita
  In developing these rules, the Commission staff consulted with the Financial Stability Oversight Council (FSOC), the Commodity Futures Trading Commission (CFTC), the Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation (FDIC). [read post]
8 Sep 2016, 9:24 am by Mark Astarita
  After warnings from internal accounting staff that an incorrect method was used to calculate AFFO in ARCP’s 2014 first quarter financial results, Block falsified the company’s AFFO presentation in the final hours before filing the company’s second quarter results. [read post]
7 Sep 2016, 9:10 am by Mark Astarita
”Ms. ten Siethoff added, “I look forward to continuing to work with the exceptional staff of the Division of Investment Management to develop rulemaking recommendations that promote a fair, efficient and effective regulatory regime for investment funds and investment advisers. [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]
25 Aug 2016, 9:02 am by Mark Astarita
These records will be useful to the Commission’s examinations staff in evaluating adviser performance claim, and could reduce the incidence of misleading or fraudulent advertising and communications by advisers.The amendments will be published on the Commission’s website and in the Federal Register. [read post]
16 Aug 2016, 10:37 am by Mark Astarita
  Health Net further agreed to certify to Enforcement Division staff that it has complied with this undertaking. [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]
2 Aug 2016, 7:32 am by Mark Astarita
Treasury market, including a number of steps that are consistent with the recommendations of the Joint Staff Report. [read post]
22 Jul 2016, 12:10 pm by Mark Astarita
Martinez began working in the SEC’s Enforcement Division in 2003 as a staff attorney and senior counsel. [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]
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]
13 Jul 2016, 10:12 am by Mark Astarita
”  The proposing release is part of the disclosure effectiveness review, which is a broad-based staff review of the requirements, and the presentation and delivery of disclosures that companies make to investors. [read post]
13 Jul 2016, 10:12 am by Mark Astarita
  The Commission staff consulted with the staff of the CFTC during this rulemaking. [read post]
8 Jul 2016, 9:09 am by Mark Astarita
  Working with the extraordinarily talented and dedicated staff of the Whistleblower Office and the Enforcement Division in standing up a groundbreaking and exemplary Whistleblower Office has been the highlight of my professional career. [read post]
29 Jun 2016, 9:25 am by Mark Astarita
  I have been privileged to work with numerous talented and dedicated staff members and contribute to the Commission’s important international work. [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]
28 Jun 2016, 11:22 am by Mark Astarita
 The proposed rule and rule amendments also would require advisers to review the adequacy and effectiveness of their plans at least annually and to retain certain related records.In addition to the proposed rule, SEC staff issued related guidance addressing business continuity planning for registered investment companies, including the oversight of the operational capabilities of key fund service providers.The proposal will be published on the SEC’s website and in the Federal… [read post]