Allison Herren Lee Sworn In As SEC Commissioner

Allison Herren Lee was sworn into office on July 8 as an SEC Commissioner.

Ms. Lee was nominated to the SEC by President Donald J. Trump and unanimously confirmed by the U.S. Senate.

“Allison’s expertise in securities law, including from her prior te…

Allison Herren Lee Sworn In As SEC Commissioner

Allison Herren Lee was sworn into office on July 8 as an SEC Commissioner.

Ms. Lee was nominated to the SEC by President Donald J. Trump and unanimously confirmed by the U.S. Senate.

“Allison’s expertise in securities law, including from her prior te…

SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products

The Securities and Exchange Commission (SEC) announced today that it has proposed to align the minimum margin required on security futures with other similar financial products.  The proposal—which, if the CFTC votes in favor of, would be a joint CFTC-…

John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency

The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los Angeles Regional Office, is leaving the agency this month after eight years of service.

Mr. Berry joined the SEC …

John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency

The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los Angeles Regional Office, is leaving the agency this month after eight years of service.

Mr. Berry joined the SEC …

SEC Names Sagar Teotia As Chief Accountant

The Securities and Exchange Commission today announced that Sagar Teotia has been named the agency’s Chief Accountant.

As Chief Accountant, Mr. Teotia will serve as the principal advisor to the Commission on accounting and auditing matters, and will l…

SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements

The Securities and Exchange Commission today announced that its Division of Corporation Finance will host a roundtable on July 18, 2019 to hear from investors, issuers, and other market participants about the impact of short-termism on our capital ma…

SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements

The Securities and Exchange Commission today announced that its Division of Corporation Finance will host a roundtable on July 18, 2019 to hear from investors, issuers, and other market participants about the impact of short-termism on our capital ma…

SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month

The Securities and Exchange Commission last week concluded its month of special events in honor of Lesbian, Gay, Bisexual and Transgender (LGBT) Pride Month and renewed the agency’s commitment to workplace diversity and inclusion.  

Throughout the mon…

SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month

The Securities and Exchange Commission last week concluded its month of special events in honor of Lesbian, Gay, Bisexual and Transgender (LGBT) Pride Month and renewed the agency’s commitment to workplace diversity and inclusion.  

Throughout the mon…

SEC Charges Investment Adviser With Fraud

The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory clients by failing to disclose conflicts of interest …

SEC Charges Investment Adviser With Fraud

The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. Behn, both of Foxboro, Mass., with defrauding retail investment advisory clients by failing to disclose conflicts of interest …