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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.
SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud
The Securities and Exchange Commission today charged American Patriot Brands Inc. (APB), a cannabis cultivation and distribution company, its CEO, and five other entities and individuals for their participation in a long-running scheme in which they…
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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 charged American Patriot Brands Inc. (APB), a cannabis cultivation and distribution company, its CEO, and five other entities and individuals for their participation in a long-running scheme in which they…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Proposes to Expand and Update Regulation SCI
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…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Financial Contagion Weighs On Sentiment
Asian equity markets were down as Silicon Valley Bank’s collapse and Credit Suisse’s troubles weighed on investor sentiment overnight except for India and the Philippines, which posted a small gain.
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The Securities and Exchange Commission today reopened the comment period on proposed rules and amendments related to cybersecurity risk management and cybersecurity-related disclosure for registered investment advisers, registered investment companies,…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
SEC Reopens Comment Period for Proposed Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
The Securities and Exchange Commission today reopened the comment period on proposed rules and amendments related to cybersecurity risk management and cybersecurity-related disclosure for registered investment advisers, registered investment companies,…
Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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The Securities and Exchange Commission today charged exiled Chinese businessman Miles Guo and his financial advisor William Je for their involvement in unregistered and fraudulent offerings that raised more than $850 million. According to the SEC’s…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.