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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…
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SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection
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…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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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.
SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors
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…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Animoca’s Yat Siu Says Crypto Is Becoming A ‘Safety Net’ Amid Banking Crisis
The chairman of Asia’s largest blockchain investor thinks volatile cryptocurrencies are a relatively safe investment as the traditional financial world is rocked by the Credit Suisse turmoil and the failure of a string of U.S. banks.
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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
SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information
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…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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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.
SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets
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,…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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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.