updated Tue. July 16, 2024
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Frisco Fastball
March 20, 2018
The Dc-based Paulson International Ltd. submitted SEC form D for $3.11 billion offering. The date of first sale was 2009-08-31. ... Harvey Pitt is the related person in the form and it has address: Kalorama Partners, 1130 Connecticut Avenue Nw, Washington, Dc, District Of Columbia, 20036. Link to PaulsonÃâà...
InvestmentNews
March 11, 2018
Title reform likely will be part of the Securities and Exchange Commission's fiduciary proposal, which is expected to be released later this year. ... In a colloquy with Mr. Clayton, former SEC chairman Harvey Pitt stressed the importance of requiring all advisers to act in their clients' best interests and said,Ãâà...
MarketWatch
March 9, 2018
However, U.S. politics, marked by turf wars between the CFTC, the Securities and Exchange Commission and others, make the U.S. regulatory ... And, former SEC Chairman Harvey Pitt said recently that, “We're in line for some serious regulatory responses,” warning of more regulations on the horizon.
Lexology
March 6, 2018
The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 ... described as a “practitioner's analysis of the Commission,” and then he answered questions in a Q&A session with former SEC Chairman Harvey Pitt.
Pensions & Investments
March 5, 2018
As SEC officials debate stronger actions to require public companies to disclose preparations for cybersecurity risks and incidents, the pressure is on institutional investors to keep pushing, industry sources said. The Securities and Exchange Commission voted unanimously on Feb. 21 to update its 2011Ãâà...
ThinkAdvisor
February 26, 2018
The Securities and Exchange Commission's exam division is targeting bad brokers to complement the crackdown being conducted by the securities ... Former SEC Chairman Harvey Pitt asked Driscoll if OCIE is “complementing” the SEC enforcement division's focus on broker recidivism through its exams.
Pensions & Investments
February 23, 2018
In a question-and-answer session with former Securities and Exchange Commission Chairman Harvey Pitt, Mr. Clayton mentioned a fiduciary rule first when Mr. Pitt asked him about the SEC's agenda for this year. SEC watchers speculate a proposal will be released near the end of the second quarter.
InvestmentNews
February 23, 2018
In a question-and-answer session with former Securities and Exchange Commission Chairman Harvey Pitt, Mr. Clayton mentioned a fiduciary rule first when Mr. Pitt asked him about the SEC's agenda for this year. SEC watchers speculate that a proposal will be released near the end of the second quarter.
Benzinga
February 16, 2018
Records indicate Honig's investment dropped below the SEC's 5 percent filing threshold in late November, but he didn't disclose his dramatically reduced holding until this week. In an interview with CNBC, former SEC chairman Harvey Pitt said this length of time is nowhere close to what he would considerÃâà...
MarketWatch
February 16, 2018
That's Ex-Securities and Exchange Commission Chairman Harvey Pitt's take on allegations that a key measure of volatility in the market, the Cboe ... An unidentified whistleblower earlier this week claimed to regulators at the SEC and the Commodity Futures Trading Commission that fake quotes for the S&PÃâà...
MarketWatch
February 16, 2018
An ex-chairman of the Securities and Exchange Commission, Harvey Pitt, had a withering take on the current state of the stock market, which has seen average speculators crushed by short-volatility products and speculators gripped by a fervor around blockchain-related assets. Pitt told CNBC during aÃâà...
Mansion Global
November 6, 2017
If there are any advisers of President Donald Trump still house hunting in Washington, D.C., former SEC chairman Harvey Pitt has just listed his Colonial Revival mansion in the coveted Kalorama neighborhood for $5.7 million. Mr. Pitt, the 26th chairman of the U.S. Securities and Exchange commission,Ãâà...
