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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SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets


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,…

Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#securitiesattorney

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…

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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


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.
#finralawyer

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…

Read the Full Press Release


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

SEC Proposes to Expand and Update Regulation SCI


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.
#finralawyer

Financial Contagion Weighs On Sentiment


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.
#seclaw

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,…

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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


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.
#securitieslawyer

SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme

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…

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