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10 Feb 2016, 11:25 am by Mark Astarita
  The CFTC subsequently requested comment on the staff advisory and both the staff advisory and comments received on it are under review at the CFTC.What’s Next? [read post]
9 Feb 2016, 1:00 pm by Mark Astarita
Patel began working in the Los Angeles office in 2001 as a staff attorney and became an Assistant Director in 2009. [read post]
3 Feb 2016, 8:01 am by Mark Astarita
Jarcho said, “I am honored and excited to broaden my participation in OCIE’s risk-based approach to examinations and look forward to working with the entire exam staff. [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]
14 Jan 2016, 11:12 am by Mark Astarita
“SEC exams ensure that market participants are following the rules, so there will be consequences, including in the determination of remedies, when a registrant fails to provide complete and clear responses to examination staff,” said Andrew M. [read post]
11 Jan 2016, 11:12 am by Mark Astarita
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]
28 Dec 2015, 8:18 am by Mark Astarita
"The annual examination report summarizes the staff’s findings from the examinations of each NRSRO as required by the 2010 Dodd-Frank Act. [read post]
21 Dec 2015, 5:00 am by Mark Astarita
We have all witnessed the problems with these long term notes - managers change, staff gets fired, offices close, desks close, divisions consolidate. [read post]
3 Dec 2015, 10:04 am by Mark Astarita
While it has been modified a bit (to remove the investor's home from the net worth calculation) the net worth and income figures have not been changed since 1982.According to InvestmentNews, in an appearance before the House Financial Services Committee, SEC Chairman White said a staff study of the accredited investor standard would be released sometime in the next three to four months. [read post]
19 Nov 2015, 6:00 am by SEClaw Staff
-based investment management firm agreed to pay $16.5 million to settle charges that it misled mutual fund investors and others with advertisements containing false historical performance data about AlphaSector, a major exchange-traded fund (ETF) portfolio strategy.SEC Announces Whistleblower Award of More Than $325,000The SEC announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement… [read post]
13 Oct 2015, 1:37 pm by Mark Astarita
  In determining to accept the offer, the SEC considered UBS’s substantial cooperation afforded its staff and certain remedial measures UBS implemented voluntarily.Investors who have been harmed by this conduct, will need to pursue their claims with their own counsel. [read post]
12 Aug 2015, 11:40 am by Mark Astarita
The SEC Staff then took the curious position that it was going to move forward with the case, despite the court's decision, since the Commission itself had not made a decision.In response, today the court entered a preliminary injunction preventing the SEC from pursuing the case. [read post]
12 Aug 2015, 7:00 am by Mark Astarita
The press release is online at http://www.sec.gov/news/pressrelease/2015-163.htmland the complaint is at the commission’s web site at http://www.sec.gov/litigation/complaints/2015/comp-pr2015-163.pdf.I have been involved in cases involving allegations of computer fraud, and trading on undisclosed earnings announcements in the past in the URL Guessing cases,  but that was more of a misunderstanding on the part of the SEC Staff and the sloppiness of the issuers, than an organized… [read post]
6 May 2015, 7:05 am by Mark Astarita
According to the article, the SEC staff has been consumed by writing rules for Dodd-Frank for the past four years, practically to the detriment of everything else, and it's not over, not by a long shot.Gallagher wants to spend more time on strengthening the trading system, but Dodd-Frank is taking up all the time.These are all hugely important things that are critical to the agency, but we're not spending time on them because we're doing silly rules like some of the ones… [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]
7 Jan 2015, 8:00 am by Mark Astarita
  FINRA devotes substantial attention to brokers that it's staff members believe pose greater risk to the investing public. [read post]
5 Dec 2014, 7:08 am by Mark Astarita
The releases trumpet a filing, not a finding by a court or judge, written by the SEC Staff who is prosecuting the case, and authorized by the Commission itself, for a case that will be prosecuted by that same attorney, before an administrative law judge who was appointed by the Commission - and whose decision will be appealed to the Commission! [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]
16 Oct 2014, 7:00 am by Mark Astarita
The issues raised by those criticisms have grown in significance in recent years as the SEC staff has used vague and overbroad subpoenas and requests for documents in the age of email and electronically stored information. [read post]