SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The…
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https://seclaw.blogspot.com/2022/09/sec-proposes-rules-to-improve-risk.html
SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law
The Securities and Exchange Commission today filed a litigated action against Oppenheimer & Co. Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms…
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https://seclaw.blogspot.com/2022/09/sec-charges-four-underwriters-in-first.html
SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability
The Securities and Exchange Commission announced charges today against registered investment advisers Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. for including Hudson’s owner’s anticipated income tax liability as a component of certain…
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https://seclaw.blogspot.com/2022/09/sec-charges-hudson-advisors-and-lone.html
August 2022 Ponzi Scheme Roundup
From Kathy Bazoian Phelps’ Ponzi Scheme Blog – a summary of activity reported for August 2022 in the Ponzi scheme space. The reported stories reflect at least 4 new Ponzi schemes worldwide, 1 guilty plea, more than 71 years of prison sentences, and an average age of approximately 51 for the alleged Ponzi schemers.
http://theponzibook.blogspot.com/2022/08/august-2022-ponzi-scheme-roundup.html
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https://seclaw.blogspot.com/2022/09/august-2022-ponzi-scheme-roundup.html
How Does A Recession Affect Me?
Are we officially in a recession? How will a recession affect me? Most importantly, how can I prepare for a recession, personally, and as an investor?
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SEC Division of Corporation Finance to Add Industry Offices Focused on Crypto Assets and Industrial Applications and Services
The Securities and Exchange Commission today announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance’s Disclosure Review Program (DRP). The DRP has long had offices to…
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https://seclaw.blogspot.com/2022/09/sec-division-of-corporation-finance-to.html
SEC Adopts JOBS Act Inflation Adjustments
The Securities and Exchange Commission today adopted amendments to its rules to implement inflation adjustments mandated by the Jumpstart Our Business Startups (JOBS) Act. The SEC is required to make inflation adjustments to certain JOBS Act rules at…
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https://seclaw.blogspot.com/2022/09/sec-adopts-jobs-act-inflation.html
SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest
The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs…
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https://seclaw.blogspot.com/2022/09/sec-charges-perceptive-advisors-for.html
Writing Calls And Buying H&R Block Now For Dividend Tomorrow
H&R Block (HRB) has been a stellar performer in the Forbes Dividend Investor portfolio since January and it trades ex-dividend tomorrow. If you execute this trade before the close you’ll earn the $0.29 per share dividend.
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