John Nester
John Nester
benefits commission dollars limit potential preserving soft
Soft dollars have potential benefits and downsides for investors. The commission has been working to limit the downsides while preserving the benefits, one of them being research.
action decision
No decision has been made and no action has been taken.
against contacts guard large point schemes
Large firms must guard against identity-theft schemes at any point of contacts with customers.
casts elevates mass media net people wider
When you get it up to the mass media, that elevates it up to a much wider level. It casts it to a much wider net of people who can get ensnared.
hear information obviously people tv urge watching
We obviously always urge people to do their research. If you hear it on TV, it doesn't make it true. Watching TV is not research. You need to independently corroborate information you hear about a company's prospects.
based came decision evidence light
The decision was based on new evidence that came to light in this litigation.
activities benefits compliance effective enhance examine failures focusing greatest harm limited manner maximize pose resources risks seeking steps taken utilize
The SEC has taken steps to continually enhance its examination oversight. Most importantly, the SEC is seeking to utilize its valuable, limited resources in the most effective manner by focusing on the activities and firms that pose the greatest risks of compliance failures that could harm investors. While the SEC can't examine every firm, we're seeking to maximize the efficiencies and benefits of our examination oversight.
activities benefits compliance effective enhance examine failures focusing greatest harm limited manner maximize pose resources risks seeking steps taken utilize
The SEC has taken steps to continually enhance its examination oversight, ... Most importantly, the SEC is seeking to utilize its valuable, limited resources in the most effective manner by focusing on the activities and firms that pose the greatest risks of compliance failures that could harm investors. While the SEC can't examine every firm, we're seeking to maximize the efficiencies and benefits of our examination oversight.
completed expected few last surgery
The surgery has been completed and hospitalization is expected to last just a few days.
additional identified needs
Additional staffing needs have been identified and are being addressed.
actively change discussing required
As we are required to, we are always discussing the appropriate threshold, but there are no discussions to actively change it.
message
They're out there every day on the message boards,