Daniel S. Kahl was named Chief Counsel of the SEC Office of Compliance Inspections and Examinations.
News & Insights
The SEC extended the time period for determining whether to adopt FINRA Rules on employee trading. The extension was published in the Federal Register. The SEC will make a decision on the proposed rules by April 8, 2016.
The SEC announced that the next meeting of its Advisory Committee on Small and Emerging Companies will "examine the capital formation landscape for small and emerging companies, including data on capital raised in unregistered securities offerings." The meeting is scheduled for February 25, 2016 from 9:30 AM through 3:30 PM.
The FDIC requested comments on a proposed rule that would facilitate the "prompt payment of FDIC-insured deposits when large insured depository institutions fail."
The SEC sanctioned a research analyst for violating SEC certification rules by communicating personal views of a company contrary to the public rating contained in his research report.