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Joel R. Levin, Director Of Chicago Regional Office, To Leave SEC

Joel R. Levin, Director Of Chicago Regional Office, To Leave SEC
Date
16/04/2021
The Securities and Exchange Commission today announced that Joel R. Levin, the Director of its Chicago Regional Office, will leave the agency at the end of May.
Mr. Levin has served as Director of the Chicago office since May 2018, overseeing the agency’s second-largest regional office of more than 260 attorneys, accountants, investigators, securities compliance examiners and other personnel involved in the investigation and prosecution of enforcement actions and the performance of compliance examinations. The nine-state region overseen by the Chicago office is home to roughly 20 percent of the nation’s population, and exercises jurisdiction over more than 2,000 investment advisers and investment companies with over $10 trillion in assets under management, and over 500 broker-dealers with more than 35,000 branch offices. ....

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SEC Reopens Comment Period For Universal Proxy

<p><span>The Securities and Exchange Commission today voted to reopen the comment period on the proposed rules for the use of universal proxy cards in all non-exempt solicitations for contested director elections.</span></p> ....

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SEC Reopens Comment Period for Universal | The Kingston Whig Standard

Article content
Washington, D.C.–(Newsfile Corp. – April 16, 2021) – The Securities and Exchange Commission today voted to reopen the comment period on the proposed rules for the use of universal proxy cards in all non-exempt solicitations for contested director elections.
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“This is an important step toward finalizing rules that will facilitate clarity and efficiency for shareholders voting in director elections,” said SEC Acting Chair Allison Herren Lee.
“Reopening the comment period will allow the public to share additional views on the use of universal proxy cards in director elections, particularly in light of the corporate governance developments that have occurred since the Commission issued its proposal,” added Acting Director of the SEC’s Division of Corporation Finance John Coates. ....

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Jane Norberg, Chief Of The SEC's Office Of The Whistleblower, To Leave Agency

Jane Norberg, Chief Of The SEC s Office Of The Whistleblower, To Leave Agency
Date
08/04/2021
The Securities and Exchange Commission today announced that Jane Norberg, Chief of the SEC s Office of the Whistleblower, is planning to leave the agency this month.
Ms. Norberg has been with the Office since near its inception in 2012, serving as its first Deputy Chief and, since 2016, its Chief. During her time as Chief, Ms. Norberg streamlined the awards review and adjudication process, managed an expansion of the Office s staff, and oversaw a dramatic growth in the number of awards issued to whistleblowers under the program, in part by leveraging the work of staff across the to complement that of the Office s dedicated staff. Ms. Norberg also played an active role in Division-wide efforts related to diversity and inclusion. ....

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SEC Issues Notice of Substituted Compliance Application And Proposed Substituted Compliance Order For United Kingdom And Reopens Comment Period For Notice And Proposed Substituted Compliance Order For France

SEC Issues Notice of Substituted Compliance Application And Proposed Substituted Compliance Order For United Kingdom And Reopens Comment Period For Notice And Proposed Substituted Compliance Order For France
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