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The Securities and Exchange Commission today proposed amendments to Regulation S-P that would enhance the protection of customer information by, among other things, requiring broker-dealers, investment companies, registered investment advisers, and… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today proposed amendments designed to modernize its information collection and analysis methods by, among other things, proposing that a number of filings be submitted to the Commission electronically on EDGAR using… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over a period of two and a half… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered broker-… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent), for the… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The U.S. Securities and Exchange Commission’s Office of Municipal Securities today announced that it updated its Registration of Municipal Advisors Frequently Asked Questions webpage to add a section, entitled Completion of Form MA, Form MA-I, and Form… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The U.S. Securities and Exchange Commission announced that it will host a virtual event, entitled “Investor Advocacy Clinics: Students Fight for Investor Justice,” on Wednesday, March 29 from 11:00 a.m. to 12:00 p.m. ET. The event will highlight the… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The two banks entered into the merger agreement on Sunday (19 March), although it remains subject to customary closing conditions. The surprise announcement had come to the fore late on Friday with both sides working over the weekend to reach an arrangement. https://citywire.com/new-model-adviser/news/ubs-to-acquire-credit-suisse-in-emergency-rescue/a2412164?re=107225&refea=1889495 The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI), the set of rules adopted in 2014 to help address technological vulnerabilities in the U.S. securities markets and… Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Category Archives: SEC Enforcement
SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information
SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934
SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players
SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity
SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violations
SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors
SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection
UBS Agrees to Acquire Credit Suisse
SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets
SEC Proposes to Expand and Update Regulation SCI