SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting
The Securities and Exchange Commission today reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting, and the staff of the Commission’s Division of Economic and Risk Analysis released a…

Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finraattorney

SEC’s Division of Investment Management to Host Inaugural Conference on Emerging Trends in Asset Management
The Securities and Exchange Commission’s Division of Investment Management today announced it will host virtually an inaugural Conference on Emerging Trends in Asset Management on Friday, May 19, 2023. The conference will bring together a variety of…

Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#seclaw

Eric R. Werner Named Director of Fort Worth Regional Office
The Securities and Exchange Commission today announced that Eric R. Werner has been named Regional Director of the Fort Worth Regional Office, effective immediately. Mr. Werner is currently the Acting Co-Regional Director and has served as the Associate…

Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#securitiesattorney

High Interest Rates Can Be A Golden Opportunity For Beginning Investors
Cash is king as higher interest rates can help you grow your money with a lot less risk as new investor.
#securitiesattorney #securitieslawyer #seclaw

High Interest Rates Are A Golden Opportunity For Beginner Investors
Cash is king as higher interest rates can help you grow your money with a lot less risk as new investor.
#securitieslawyer #seclaw

SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service
The Securities and Exchange Commission today charged investment advisory firm Betterment LLC for material misstatements and omissions related to its automated tax loss harvesting service (TLH), failing to provide clients with notice of changes to…

Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#seclaw

SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency
The Securities and Exchange Commission today charged crypto asset trading platform Bittrex, Inc. and its co-founder and former CEO William Shihara for operating an unregistered national securities exchange, broker, and clearing agency. The SEC also…

Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#seclaw

EV Stocks: The Lowdown On The Market And How To Navigate It As An Investor
We’ve laid out the industry’s current position, what it’s composed of and the headwinds it’s facing that could scupper future gains.
#securitiesattorney