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SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures
The Securities and Exchange Commission today charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their employees to maintain and preserve electronic communications. To settle the…
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The Securities and Exchange Commission today charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their employees to maintain and preserve electronic communications. To settle the…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
* This article was originally published here
SECLaw.com is the online source of securities law new, tips and commentary. Online since 1995 it is the recognized leader in the area, so much so that other attorneys have been reduced to using “seclaw” in their website names in an effort to gain from the site’s popularity.
SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud
The Securities and Exchange Commission today charged Brett M. Bartlett, his father-in-law Scott A. Miller, and their companies for fraudulent securities offerings that raised at least $20.5 million, some of which Bartlett and Miller misused for personal…
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The Securities and Exchange Commission today charged three executives of Mobile, Alabama-based shipbuilder, Austal USA LLC, for orchestrating a fraudulent revenue recognition scheme that allowed its parent company to meet or exceed analyst expectations…
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* This article was originally published here
SECLaw.com is the online source of securities law new, tips and commentary. Online since 1995 it is the recognized leader in the area, so much so that other attorneys have been reduced to using “seclaw” in their website names in an effort to gain from the site’s popularity.
SEC Adopts Amendments to Modernize Share Repurchase Disclosure
The Securities and Exchange Commission today adopted amendments to modernize the disclosure requirements relating to repurchases of an issuer’s equity securities, including requiring issuers to provide daily repurchase activity on a quarterly or semi-…
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SEC Announces New Members of Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission today announced 14 new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms to fill vacancies arising primarily from the expiration of prior members’…
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SEC Wrong on Crypto
He might be right.
Crypto lawyer and XRP supporter John Deaton says that the U.S. Securities and Exchange Commission (SEC) is moving in the wrong regulatory direction at the expense of retail investors
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SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations
The Securities and Exchange Commission today announced charges against investment adviser Pinnacle Advisors LLC for aiding and abetting Liquidity Rule violations by a mutual fund it advised and whose Liquidity Risk Management Program it administered. The…
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