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The Securities and Exchange Commission today announced that Daniel S. Kahl, Acting Director of the SEC’s Division of Examinations, will depart the agency after more than 21 years of service. Richard R. Best, Director of the SEC’s New York Regional Office… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. On March 29, 2022 at 7 p.m. ET the Securities and Exchange Commission’s New York Regional Office, in coordination with Alpha Kappa Alpha Sorority Inc., Tau Omega Chapter, will celebrate women’s history month with a free investor education panel… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today proposed rule changes that would require registrants to include certain climate-related disclosures in their registration statements and periodic reports, including information about climate-related risks that… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced three awards totaling approximately $3 million to whistleblowers who provided information and assistance in three separate covered actions. In the first order, the SEC issued an award of… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today announced fraud charges against five individuals for allegedly operating a call center in Medellin, Colombia, which used high pressure sales tactics and made false and misleading statements to retail investors… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today announced that Dave A. Sanchez will return to the SEC to serve as Director of the Office of Municipal Securities (OMS) effective April 11. Mr. Sanchez most recently advised municipal issuers, broker-dealers… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. Each… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today charged a previously-barred North Carolina-based investment adviser with lying to retail investors about the use and value of their investments. The SEC’s complaint alleges that, starting in approximately… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys On March 9, President Biden signed an Executive Order (the Order) to establish the first comprehensive federal digital asset strategy for the U.S., which would promote digital asset innovation while balancing benefits and associated risks. The order directs the Justice Department, U.S. Department of the Treasury, the Board of Governors of the Federal Reserve System, the Consumer Financial Protection Bureau (CFPB), and many other federal agencies to study the legal and economic implications of creating a U.S. Central Bank Digital Currency (CBDC). President Biden’s order sets deadlines for a series of reports on “the future of money,” the role that cryptocurrencies will play in a global economy, and information on a possible CBDC. More on the President’s order at The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting remotely on March 10 at 10:00 a.m. ET. The meeting is open to the public via live webcast, and will be archived on the committee’s website for later… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys
Tag Archives: securities lawyer
SEC Announces New Leadership in Examinations Division and New York Regional Office
Women’s History Month Event: SEC to Host Free Virtual Financial Fraud Webinar
SEC Proposes Rules to Enhance and Standardize Climate-Related Disclosures for Investors
SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
SEC Charges Call Center Operators in $58 Million Penny Stock Scheme
Dave A. Sanchez to Lead Office of Municipal Securities
Register for the SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
SEC Charges Previously-Barred Investment Adviser with Fraud
Biden Signs Executive Order on Cryptocurrency
SEC Investor Advisory Committee to Discuss Artificial Intelligence and Cybersecurity on March 10