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5 Dec 2017, 8:41 am
Division Director Bill Hinman said at Practising Law Institute’s securities regulation conference that when Chairman Jay Clayton first asked him if the existing guidance needed to be refreshed, he did not think so. [read post]
16 Feb 2010, 10:33 am
Is your staff’s security also built into your long-term plans? [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
30 Mar 2021, 12:19 pm
The staff also found deficiencies in some of the thresholds firms set, such as generating alerts only when securities were priced under $1 per share, while failing to monitor penny stocks above that threshold. [read post]
30 Mar 2017, 7:26 am
Of these, 742 had common equity securities listed on a U.S. national securities exchange. [read post]
15 Jan 2013, 8:20 am
(UT Staff Ombuds.)Related posts: University of Texas Staff Set Ombuds as Top Priority; University of Texas President Asks for Recommendation on Staff Ombuds; Job Posting; University of Texas Names First Staff Ombuds; Staff Ombuds at University of Texas Debuts Website. [read post]
19 Oct 2017, 8:04 am
The staff said “No. [read post]
28 Feb 2014, 4:37 pm
featuring Senior Staff Attorney, Jennifer Lynch and Senior Staff Technologist, Seth Schoen Aside from the aforementioned events, many members of the EFF staff will be attending RightsCon so be sure to say “hello! [read post]
3 Aug 2018, 5:56 am
In the staff’s view, disclosing that the submission is being made voluntarily will make it clear to investors the nature of the submission and that it is being made on behalf of a soliciting party who does not beneficially own more than $5 million of the class of subject securities. [read post]
24 Nov 2010, 5:17 am
HECKUVA JOB: Homeland Security secretary thanks TSA staff for hard work. [read post]
29 Dec 2014, 4:33 pm
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbThe Division of Investment Management has issued guidance in response to questions about whether certain key employee trusts would qualify as family clients under the family office rule. [read post]
24 Jul 2009, 10:43 am
Staff of the Canadian Securities Administrators (CSA Staff) released a staff notice today summarizing the results of their continuous disclosure review program for the 2009 fiscal year. [read post]
17 Dec 2008, 12:51 am
’s staff had ignored warnings about Bernard L. [read post]
18 Sep 2017, 1:40 pm
Joint Chiefs of Staff Lastly, the act created the Joint Chiefs of Staff. [read post]
2 Feb 2021, 12:52 pm
Share Tweet ShareThe Securities and Exchange Commission today released a roster of the executive staff for Acting Chair Allison Herren Lee. [read post]
