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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… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today proposed amendments designed to modernize its information collection and analysis methods by, among other things, proposing that a number of filings be submitted to the Commission electronically on EDGAR using… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over a period of two and a half… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered broker-… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. 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… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. 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 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. 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. The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 96 soliciting entities, three impersonators of genuine firms, and… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today charged Terren S. Peizer, Executive Chairman of the Santa Monica, California-based healthcare treatment company Ontrak Inc., with insider trading for selling more than $20 million of Ontrak stock between May… Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
Tag Archives: securities law
SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information
SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934
SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players
SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity
SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors
UBS Agrees to Acquire Credit Suisse
SEC Reopens Comment Period for Proposed Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
SEC Charges Ontrak Chairman Terren Peizer with Insider Trading