Search for: "SEClaw Staff"
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28 Jun 2016, 11:22 am
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]
Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
23 Jun 2016, 7:15 am
“Simultaneous with today's action, SEC staff will begin a coordinated effort across divisions to find potential violations by other firms through a targeted sweep and by encouraging firms to self-report any potential violations of the Customer Protection Rule,” said Michael J. [read post]
17 Jun 2016, 4:43 pm
The staff guidance states that delays of less than one millisecond are at a de minimis level. [read post]
9 Jun 2016, 8:59 am
“The information and assistance provided by this whistleblower enabled our enforcement staff to conserve time and resources and gather strong evidence supporting our case. [read post]
7 Jun 2016, 10:35 am
” Among the companies’ actions outlined in the NPAs:Reported the situation to the SEC on their own initiative in the early stages of internal investigations.Shared detailed findings of the internal investigations and provided timely updates to enforcement staff when new information was uncovered.Provided summaries of witness interviews and voluntarily made witnesses available for interviews, including those in China.Voluntarily translated documents from Chinese into… [read post]
3 Jun 2016, 7:32 am
Cohen has overseen a staff of nearly 60 attorneys and other professionals responsible for investigating potential violations of the federal securities laws by a wide range of market participants. [read post]
2 Jun 2016, 10:56 am
“I look forward to working with staff across the agency to enhance our risk-based approach to cybersecurity policy. [read post]
11 May 2016, 8:00 am
At the May 18 meeting, the committee will discuss the recent SEC staff report on the accredited investor definition, followed by a discussion of developments in unregistered securities offerings under Regulation D. [read post]
15 Apr 2016, 6:03 am
The concept release, which arises out of the staff’s work on the Disclosure Effectiveness Initiative, would consider ways to enhance the disclosure requirements for the benefit of investors and companies. [read post]
15 Apr 2016, 6:03 am
Commission staff also has consulted with representatives of the other federal financial regulators and with Department of Labor representatives on this rulemaking.What’s Next? [read post]
13 Apr 2016, 6:12 pm
”Today’s charges are the latest example of SEC staff thwarting the efforts of insider traders to avoid detection by trading in a relative's brokerage account. [read post]
11 Apr 2016, 11:28 am
Sprung said, “It has been an honor to work with staff throughout the Division of Enforcement and the SEC who inspired me with their unwavering professionalism, skill and talent during my tenure at the agency. [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]
29 Mar 2016, 9:02 am
In reality, the FDA staff had recommended a second trial. [read post]
25 Mar 2016, 8:52 am
The SEC staff is aware of increased stock promotion of companies that claim to be developing products or services relating to the Zika virus.Investor Alert: Zika Crisis May Give Rise to Investment Scams: "Investor Alert: Zika Crisis May Give Rise to Investment Scams" [read post]
21 Mar 2016, 10:39 am
He advises the Chair, Commissioners, and SEC staff on legislative matters, provides technical assistance on securities-related legislation to congressional committees and staff, and assists in preparing SEC testimony for congressional hearings. [read post]
10 Mar 2016, 10:13 am
Kelly attended law school while working as an examiner and he joined the Enforcement Division following graduation and served as a staff attorney and senior counsel. [read post]
9 Mar 2016, 1:33 pm
“Attendees will learn what other firms are doing to comply with certain regulations and the SEC staff’s perspective regarding interpreting, examining, and enforcing these regulations. [read post]
9 Mar 2016, 11:41 am
“SEC enforcement staff continue to develop and refine analytical tools to uncover illicit trading activity and hold accountable those abusing the markets for their own financial gain,” said Joseph G. [read post]
9 Mar 2016, 8:09 am
SEC enforcement staff on the case can be reached at LA4238@sec.gov.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
