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SEC Publishes FY22-26 Strategic Plan Read the Full Press Release AMC Stock Breakdown: Is This Meme Stock A Financial Winner? SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investments Read the Full Press Release Halted Stocks – Why The SEC And Stock Exchanges Pause Trading? December 7 Deadline to Comment on New Expungement Proposal https://www.financial-planning.com/news/brokers-comment-period-on-finra-expungement-proposal SEC Charges Unregistered Brokers that Facilitated more than $1.2 Billion in Primarily Penny Stock Trades Read the Full Press Release SEC Yield Vs 12 Month Yield: Why SEC Is Better Morgan Stanley Advisors Leaving Over New Account Restrictions FTX, GameStop, And The Young Investor SEC Charges S&P Global Ratings with Conflict of Interest Violations Read the Full Press Release
Category Archives: Investor
SEC Publishes FY22-26 Strategic Plan
The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse workforce…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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AMC Stock Breakdown: Is This Meme Stock A Financial Winner?
AMC stock became a popular meme stock. Now that the phenomenon is over, is it still a buy? Here is what you should know as an investor before adding it to your portfolio.
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SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investments
The Securities and Exchange Commission today charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as Environmental, Social, and Governance…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Halted Stocks – Why The SEC And Stock Exchanges Pause Trading?
The SEC uses trading suspensions to protect investors and to give itself time to investigate potential fraud. Here’s how they work and what investors need to know.
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December 7 Deadline to Comment on New Expungement Proposal
With only 4% of customer complaints being expunged, FINRA is bowing to pressure, presumably from the customer attorneys’ bar, to again make it more difficult to remove false claims from a broker’s public record.
FINRA’s recent proposed amendment seeks to make expungement an even more extraordinary remedy by preventing anyone found liable in a customer complaint case from even seeking it. The proposal would also require that customers who have submitted complaints or other professionals be invited to any hearing on expungement proposals; and it would prohibit the arbitration panels charged with granting or rejecting expungement requests from giving any “evidentiary weight” to a customer’s failure to appear at a hearing.
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https://seclaw.blogspot.com/2022/11/december-7-deadline-to-comment-on-new.html
SEC Charges Unregistered Brokers that Facilitated more than $1.2 Billion in Primarily Penny Stock Trades
The Securities and Exchange Commission today charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities trading,…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Yield Vs 12 Month Yield: Why SEC Is Better
Please note that many websites will say that TLT pays just 2.6%. This is the too-detailed-not-too-useful weather report version of this fund’s yield.
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Morgan Stanley Advisors Leaving Over New Account Restrictions
Morgan Stanley is increasing its account minimum requirements for international clients and is set to close or suspend thousands of domestic and offshore wealth management accounts as part of a due diligence review, according to Citywire.
The firm informed staff on Tuesday morning that accounts with less than $5m currently awaiting review by its due diligence team will be closed while accounts above this threshold would be subject to a slew of trading restrictions, according to a number of sources familiar with the changes.
For more information see http://citywire.com/americas/news/morgan-stanley-closes-accounts-and-ups-int-l-minimums-amid-due-diligence-review/a2402014
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https://seclaw.blogspot.com/2022/11/morgan-stanley-advisors-leaving-over.html
FTX, GameStop, And The Young Investor
Crypto and “meme stocks” are volatile assets that have a common trait – young investors.
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SEC Charges S&P Global Ratings with Conflict of Interest Violations
The Securities and Exchange Commission today charged S&P Global Ratings, a nationally recognized statistical rating organization (NRSRO) registered with the Commission, with violating conflict of interest rules designed to prevent sales and marketing…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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