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31 Jan 2022, 9:10 am
The Securities and Exchange Commission today issued its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs), providing a summary of the SEC staff’s examinations of NRSROs and discussing the state of competition,…Read the Full Press ReleaseHave a securities law question? [read post]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
24 Jan 2011, 11:26 am
NASAA Statement on SEC Study on the Obligations of Brokers, Dealers and Investment Advisers “The SEC staff recommendation to apply a fiduciary duty to broker-dealers who provide personalized investment advice about securities to retail customers will have a significant positive... [read post]
24 Jul 2012, 6:52 am
The SEC staff published a report in response to a JOBS Act requirement that the SEC must study the effects of the transition from fractional trading to penny trading for securities, including the effect of the transition on initial public offerings. [read post]
5 Apr 2007, 4:48 am
The Securities and Exchange Commission is sending its accounting staff to work with the Public Company Accounting Oversight Board on additional revisions to the auditing standard that has been criticized by public companies and legislators for creating costly audits of internal controls. [read post]
27 Jan 2015, 6:54 pm
Along with the staff report, the FTC issued a guide called “Careful Connections” that provides recommendations on building security into IoT applications. [read post]
6 Dec 2010, 12:45 pm
Staff from the CFTC and the SEC will hold a public roundtable on Dec. 10, 2010, to discuss issues related to capital and margin requirements for swap dealers, security-based swap dealers, major swap participants, and major security-based swap participants. [read post]
5 Nov 2019, 9:20 am
The staff’s action enables the further development and commercialization of a blockchain platform for clearing and settling U.S. securities trades. [read post]
9 Jul 2019, 12:21 pm
On July 8, 2019, the SEC’s Division of Trading and Markets and FINRA’s Office of General Counsel (collectively, the Staffs) issued a Joint Statement on Broker-Dealer Custody of Digital Asset Securities. [read post]
7 Jul 2016, 1:38 pm
Maryland Legal Aid Administrative Law Unit in Baltimore City announces a full-time staff attorney position for qualified applicants. [read post]
29 Jun 2010, 12:48 pm
The Securities and Exchange Commission agreed to settle a wrongful termination suit filed by a former staff lawyer who was fired during an insider-trading investigation. [read post]
13 May 2021, 7:06 am
The SEC staff also noted that it intends to monitor and assess mutual funds’ and investment advisers’ ongoing compliance with the Investment Company Act and the other federal securities laws. [read post]
7 May 2016, 11:23 am
There are some legitimate reasons for the growth, including an increase in the size of the Situation Room staff and incorporation of the Homeland Security Council staff (created as a separate staff during the Bush Administration after the 9-11 attacks to coordinate interagency homeland security activities, including by non-NSC agencies, such as HHS and DoT) into the NSC staff in 2009. [read post]
15 Dec 2023, 8:11 am
The Securities and Exchange Commission today issued a staff report on the accredited investor definition. [read post]
2 Feb 2019, 7:11 am
On December 20, 2018, the staff (the “Staff”) of the Securities and Exchange Commission (“SEC”) granted conditional no-action relief to Madison Capital Funding LLC (“Madison”), an investment adviser registered with the SEC, from certain requirements under Rule 206(4)-2 (the “Custody Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”) in connection with Madison’s… [read post]
