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The Securities and Exchange Commission today announced the appointment of Nicole Creola Kelly as Chief of the SEC’s Office of the Whistleblower. Ms. Kelly, who goes by Cree, is currently Senior Special Counsel in the Office of the General Counsel and…
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Originally posted at The Securities Law Blog
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The Securities and Exchange Commission today released the agenda for the March 19 meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission with diverse perspectives on asset management and related advice and…
Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
The Securities and Exchange Commission today announced fraud charges and an asset freeze and other emergency relief against an Irvine, California-based trader who used social media to spread false information about a defunct company, while secretly…
Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
Revolutionizing the Digital Experience: Form U4 and FINRA Gateway http://feeds.finra.org/~r/FINRACompliancePodcast/~3/d7RU0KGpAwk/revolutionizing-the-digital-experience-form-u4-and-finra-gateway-jy8aQMEI #seclaw#securitieslawyer
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Coast-to-coast representation of investors and financial professionals – Securities Lawyer
Who’s Making All Those Scam Calls? https://www.nytimes.com/2021/01/27/magazine/scam-call-centers.html
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Coast-to-coast representation of investors and financial professionals – Securities Lawyer
Cybersecurity: Current and Emerging Industry Priorities and Threats http://feeds.finra.org/~r/FINRACompliancePodcast/~3/lTqdKc-M1Ic/cybersecurity-current-and-emerging-industry-priorities-and-threats-n9nb7LeM #seclaw#securitieslawyer
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Coast-to-coast representation of investors and financial professionals – Securities Lawyer
I.R.S. Pushes Back Start of 2020 Tax Filing Season https://www.nytimes.com/2021/01/22/your-money/irs-tax-season.html
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Coast-to-coast representation of investors and financial professionals – Securities Lawyer
The Securities and Exchange Commission today charged George Heckler, of Charleston, South Carolina, for operating a decade-long investment adviser fraud through two private hedge funds, Cassatt Short Term Trading Fund LP (Cassatt) and CV Special…
Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
Don’t Worry, The Odds Are In Your Favor Says This Value Investor Patience, discipline and courage Buckingham noted that it just isn’t a good time to be holding cash right now. #securitieslaw #seclaw #securitieslawyer https://www.forbes.com/sites/jacobwolinsky/2021/03/07/dont-worry-the-odds-are-in-your-favor-says-this-value-investor/
Online trading app Robinhood said late Thursday that starting tomorrow it will allow "limited buys" of securities such as GameStop Corp. undefined, AMC…