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Securities Lawyer 101

Securities Lawyer 101

Covers securities enforcement, securities law and going public matters. By Hamilton & Associates.

http://www.securitieslawyer101.com/blog/
  • Sep 10

    Corporate Hijackings 101 l Securities Lawyer 101 Blog

    Corporate Hijackings 101 l Securities Lawyer 101 Blog
    Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade.  It  is a growing method used by fraudsters to acquire…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
    Going Public Lawyer  Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes…
  • Jan 1

    Going Public Blog l Securities Lawyer 101

    Going Public Blog l Securities Lawyer 101
      Securities Lawyer 101 Blog Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and…
Rank this Week: 41

The Race to the Bottom

The Race to the Bottom

A faculty-student collaboration on corporate governance. By Professor J. Robert Brown, Jr.

http://www.theracetothebottom.org/
  • Aug 28

    The SEC and Administrative Proceedings (Part 2)

    The SEC and Administrative Proceedings (Part 2)
    We are discussing some of the issues raised by Peter Henning in his DealBook column, The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.   In any event, the limits on discovery, the fact that ALJ decisions are…
  • Aug 26

    The SEC and Administrative Proceedings (Part 1)

    The SEC and Administrative Proceedings (Part 1)
    Peter Henning wrote an interesting piece over at DealBook on the SEC's use of administrative proceedings in place of actions in federal district court.  See The S.E.C.’s Use of the ‘Rocket Docket’ Is Challenged.…
  • Aug 26

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)

    Morrison, the Second Circuit, and the Reverse Effects Test: ParkCentral Global Hub Limited v. Porsche Automobile Holdings (Part 2)
    We are discussing the Second Circuit's decision in ParkCentral Global Hub Limited v. Porsche Automobile Holdings, a case that effectively created a "reverse effects test" that was contrary to the Supreme Court's analysis…
Rank this Week: 61

The D & O Diary

The D & O Diary

News and commentary on Directors and Officers Liability. By Kevin M. LaCroix.

http://www.dandodiary.com/
  • Dec 17

    D&O Insurance: Eleventh Circuit Holds Insured v. Insured Exclusion’s Applicability to FDIC Failed Bank Claims Ambiguou

    D&O Insurance: Eleventh Circuit Holds Insured v. Insured Exclusion’s Applicability to FDIC Failed Bank Claims Ambiguou
    Going all the way back to the S&L crisis, a recurring insurance coverage issue that has arisen in the failed bank context has been the question of whether or not coverage for a claim brought by the FDIC in its capacity as receiver of a…
  • Dec 16

    Guest Post: Second Circuit Rules for Defendants in Landmark Insider Trading Case

    Guest Post: Second Circuit Rules for Defendants in Landmark Insider Trading Case
    In the following guest post, Susanna Buergel, Charles Davidow, Andrew Ehrlich, Brad Karp, Daniel Kramer, Richard Rosen and Audra Soloway, all of whom are litigation partners at Paul, Weiss, Rifkind, Wharton & Garrison LLP who are…
  • Dec 15

    Up Next: Cyber Insurance Requirements for Banks?

    Up Next: Cyber Insurance Requirements for Banks?
    As I noted in a post last week, in a speech earlier this month in which she outlined the steps bank boards can take to address cybersecurity issues, Sarah Raskin, the second-ranking official at the U.S. Department of Treasury, laid out the…
Rank this Week: 120

Securities Law Prof Blog

Securities Law Prof Blog

Covers securities arbitration, state securities law, court decisions and law review articles. By Eric C. Chaffee.

http://lawprofessors.typepad.com/securities/
  • Dec 7

    Request for Submissions: National Business Law Scholars Conference

    Request for Submissions: National Business Law Scholars Conference
    National Business Law Scholars Conference Thursday & Friday, June 4-5, 2015 Seton Hall University School of Law, Newark, NJ This is the sixth annual meeting of the NBLSC, a conference which annually draws together legal scholars from…
  • Dec 7

    Request for Submissions: Yale/Stanford/Harvard Junior Faculty Forum

    Request for Submissions: Yale/Stanford/Harvard Junior Faculty Forum
    Professor Adriaan Lani forwarded me the following announcement about the Yale/Stanford/Harvard Junior Faculty Forum, which offers an exciting venue for junior scholars to present their work: Yale, Stanford, and Harvard Law Schools announce…
  • Dec 7

    New in Print

    New in Print
    The following law review articles relating to securities regulation are now available in paper format: Holly Baird, Comment, The Preculsive Effect of Disgorgement Orders in Non- Dischargeability Actions Under Section 523(a)(19), 30 Emory…
Rank this Week: 121

Financial Counsel

Financial Counsel

Covers compliance, employment and industry intelligence for investment professionals and investment, planning and regulatory intelligence for investors. By James J. Eccleston.

http://financialcounselblog.com
  • Dec 15

    Former MidAmerica Financial Broker Fined for Outside Business Activity

    Former MidAmerica Financial Broker Fined for Outside Business Activity
    From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has fined Brian G. Wolf, a former broker from MidAmerica Financial Services, Inc. (“MFS”) for being involved in an outside business…
  • Dec 12

    Ex-New York Islanders Owners Sentenced for Securities Fraud

    Ex-New York Islanders Owners Sentenced for Securities Fraud
    From the Desk of Jim Eccleston at Eccleston Law Offices: Paul Greenwood and Stephen Walsh, former executives at WG Trading Co., were sentenced to 10 years in prison for participating in a fraud valued at roughly $554…
  • Dec 11

    FINRA Fines Ameriprise for Arbitration Discovery Abuse

    FINRA Fines Ameriprise for Arbitration Discovery Abuse
    From the Desk of Jim Eccleston at Eccleston Law Offices: FINRA has sanctioned Ameriprise and one of its brokers for altering documents and refusing to produce documents in an arbitration proceeding. According…
Rank this Week: 132

Fitapelli Kurta News

Fitapelli Kurta News

Features stock fraud news.

http://stopbrokerfraud.com/news/
  • Dec 16

    Investor Warning: FS Energy & Power Fund

    Investor Warning: FS Energy & Power Fund
    The nationally acclaimed stock fraud law firm, Fitapelli Kurta, is investigating potential claims against FS2 Capital Partners, LPL Financial, Ameriprise Financial, and any other broker-dealer firm who recommended FS Energy & Power…
  • Dec 16

    FINRA Complaint Report: Week Ending December 12, 2014

    FINRA Complaint Report: Week Ending December 12, 2014
    The following are complaints filed with FINRA against brokers or broker-dealer firms for the week ending December 12, 2014. The post FINRA Complaint Report: Week Ending December 12, 2014 appeared first on Stock Fraud News & Information.
  • Dec 12

    GT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate

    GT Advanced Technologies (GTAT) – Bankrupt – Stock fraud attorneys investigate
    As millions held their breath and awaited the much anticipated release of Apple’s IPhone 6, GT Advanced Technologies (GTAT) cringed and awaited the inevitable – bankruptcy. The post GT Advanced Technologies (GTAT) – Bankrupt…
Rank this Week: 176

The White Law Group's Securities…

The White Law Group's Securities Fraud Blog

Covers securities fraud cases, investment fraud practices and securities industry regulations.

http://www.whitesecuritieslaw.com/securities-fraud/blog/
  • Dec 18

    Recovery of UBS ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy Exchange-Traded Notes Losse

    Recovery of UBS ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy Exchange-Traded Notes Losse
    Have you suffered losses investing in UBS ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy Exchange-Traded Notes?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA…
  • Dec 18

    Recovery of Energy Sector Exchange-Traded Fund

    Recovery of Energy Sector Exchange-Traded Fund
    Have you suffered losses investing in Energy Sector Exchange-Traded Funds (“ETFs”)?  If so, the securities attorneys of The White Law Group may be able to help you recover your losses in a FINRA arbitration claim against the…
  • Dec 16

    Recovery of K&M Oil Investment Losse

    Recovery of K&M Oil Investment Losse
    Have you suffered investment losses in K&M Oil Company? If so, The White Law Group may be able to help by filing a claim to recover losses through FINRA arbitration. According to SEC filings, K&M Oil is a limited liability…
Rank this Week: 189

California Corporate & Securities…

California Corporate & Securities Law

Covers California securities law, corporate governance, mergers & acquisitions and securities litigation. By Keith Paul Bishop.

http://calcorporatelaw.com/
  • Dec 18

    9th Circuit Upholds Issue Preclusion In Subsequent Derivative Suit

    9th Circuit Upholds Issue Preclusion In Subsequent Derivative Suit
    Derivative suits rarely arrive alone.  When something goes awry, directors and officers can be expected to see multiple suits based on demand futility as well as wrongful demand refusal.  Often, suits will be filed at different…
  • Dec 17

    Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading

    Ninth Circuit Requires Particularity In All Elements Of Securities Fraud Pleading
    Sometimes, I find it useful to take a step back and review the legal standard applicable to securities fraud claims under Section 10(b) and Rule 10b-5.  To stay in court, and securities litigation all about surviving motions to dismiss,…
  • Dec 16

    In Texas Can Some Shares Be More Equal Than Others?

    In Texas Can Some Shares Be More Equal Than Others?
    Although Rome before Augustus is often described as a republic, it was in many respects ruled by the wealthy who jealously guarded their power.  So it was with Rome’s comitia…
Rank this Week: 205

Sharesleuth.com

Sharesleuth.com

Offers investigative reporting aimed at exposing securities fraud. By Chris Carey.

http://sharesleuth.com/
  • Oct 7

    Kandi Technologies Group Inc.: The return of the cyber shill

    Kandi Technologies Group Inc.: The return of the cyber shill
    Last June, shares of Kandi Technologies Group Inc. (Nasdaq: KNDI) doubled in the space of a week, spurred on by a mysterious network of social-media touters who later deleted their posts or shut down their accounts…
  • Jun 17

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable

    Telestone Technologies revisited: SEC letters reveal doubts about revenues and receivable
    Recently released letters between the Securities and Exchange Commission and Telestone Technologies Corp. (Pink Sheets: TSTC) show that regulators have significant concerns about the Chinese wireless communication company’s reported…
  • Jun 3

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection

    Guanwei Recycling Corp. and Kandi Technologies Group Inc.: The Rui Wang Connection
    A Chinese businessman who figures into a fraud case involving Guanwei Recycling Corp. (Nasdaq: GPRC) also has an intriguing connection to Kandi Technologies Group Inc. (Nasdaq: KNDI), whose shares were allegedly manipulated by the same group.…
Rank this Week: 270

Securities Lawyers Blog

Securities Lawyers Blog

Covers securities law. By Gana LLP.

http://www.securitieslawyersblog.com/
  • Dec 17

    Atlas Energy Oil and Gas Investments: Risks Investors Should Know Part II

    Atlas Energy Oil and Gas Investments: Risks Investors Should Know Part II
    This article follows up on a recent article reported in Reuters concerning Atlas Energy LP’s private placement partnerships in oil and gas. Atlas Resources LLC, a subsidiary the energy group, has filed documents with the SEC for Atlas…
  • Dec 16

    Atlas Energy Oil and Gas Investments: A Risky Proposition Part I

    Atlas Energy Oil and Gas Investments: A Risky Proposition Part I
    As recently reported in Reuters, Atlas Energy LP has marketed itself to investors as a way to get into the U.S. energy boom. By contributing at least $25,000 in a private placement partnership that will drill for oil and gas in states such as…
  • Dec 15

    LPL Financial Broker Jon Cox Under Investigation For Outside Business Activitie

    LPL Financial Broker Jon Cox Under Investigation For Outside Business Activitie
    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against LPL Financial LLC (LPL) broker Jon Cox (Cox) alleging that Cox may have engaged in unauthorized outside business activities, private securities…
Rank this Week: 288

Stock Broker Fraud Blog

Stock Broker Fraud Blog

Covers broker fraud, investor fraud, marketing timing, and securities fraud. By Shepherd Smith Edwards & Kantas.

http://www.stockbrokerfraudblog.com/
Rank this Week: 308

Florida Securities Fraud Lawyer…

Florida Securities Fraud Lawyer Blog

Covers securities fraud, investor fraud and Ponzi schemes. By McCabe Rabin, P.A.

http://www.floridasecuritiesfraudlawyerblog.com/
  • Dec 5

    FINRA Increases Arbitrator Pay- Passes Costs to Partie

    FINRA Increases Arbitrator Pay- Passes Costs to Partie
    According to Regulatory Notice 14-49 (“RN 14-49”) issued by the Financial Industry Regulatory Authority (“FINRA”), FINRA is increasing the pay for arbitrators assigned to hear FINRA cases and passing the costs of the…
  • Nov 20

    Former Florida Broker Permanently Barred for Alleged Theft

    Former Florida Broker Permanently Barred for Alleged Theft
    According to his BrokerCheck Report, Jeffrey Brian Grove of Melbourne, Florida has been permanently barred from the financial services industry by the Financial Industry Regulatory Authority (“FINRA”).   According to…
  • Oct 16

    SEC Approves Rule to Help Non-Traded REIT Investor

    SEC Approves Rule to Help Non-Traded REIT Investor
    The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed revisions to NASD Rule 2340 regarding per share estimated valuations of unlisted REITs held by…
Rank this Week: 331

Jim Hamilton's World of Securities…

Jim Hamilton's World of Securities Regulation

Commentaries on security regulation.

http://jimhamiltonblog.blogspot.com/
  • Dec 18

    Life Settlement Promoters’ Pre-Sale Efforts Satisfied Howey, NASAA Argue

    Life Settlement Promoters’ Pre-Sale Efforts Satisfied Howey, NASAA Argue
    [This story previously appeared in Securities Regulation Daily.]By John M. Jascob, J.D.NASAA has urged the Texas Supreme Court to uphold a lower court’s ruling that life settlements sold by Life Partners, Inc. were securities under…
  • Dec 17

    Yale Prof Defends Harvard Activist Clinic against Gallagher Paper

    Yale Prof Defends Harvard Activist Clinic against Gallagher Paper
    [This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.A Yale University law professor has stepped in to challenge SEC Commissioner Daniel Gallagher’s argument that the Harvard Shareholder Rights…
  • Dec 16

    Staff Grants Relief to Combat Advisers’ Reluctance to Provide Documents to CFP Board

    Staff Grants Relief to Combat Advisers’ Reluctance to Provide Documents to CFP Board
    [This story previously appeared in Securities Regulation Daily.]By John Filar AtwoodThe staff of the SEC’s Division of Trading and Markets has expanded a March 2011 no-action position to help the Certified Financial Planner Board of…
Rank this Week: 340

Broke and Broker

Broke and Broker

Covers the Wall Street docket of criminal, civil, regulatory, and arbitration cases. By Bill Singer.

http://brokeandbroker.com/index.php
  • Dec 12

    Till Death And Redemptions Do Husband, Wife, And Stockbroker Part

    Till Death And Redemptions Do Husband, Wife, And Stockbroker Part
    We start this ballad with a wife. We add a husband. We toss into that scene a stockbroker. Add some redemptions from the account's under the wife's control. All of which sets the stage for a Wall Street torch song about pain, sadness, and a…
  • Dec 12

    18 Reps Fall Off Firm's Email Radar

    18 Reps Fall Off Firm's Email Radar
    In a recent FINRA regulatory settlement, 18 registered folks sort of fell off their firm's compliance radar.  It's not a case involving earth-shattering misconduct. Sometimes stuff just falls through the cracks. Every wrong on Wall…
  • Dec 11

    Email Request For A Wire Clotheslines Stockbroker

    Email Request For A Wire Clotheslines Stockbroker
    The road to Hell is paved with good intentions and a recent FINRA regulatory settlement involving a customer's email request for a wire transfer certainly proves that point. Presented for your consideration is a stockbroker who appears to…
Rank this Week: 359

Institutional Investor Securities…

Institutional Investor Securities Blog

Covers investment fraud involving auction-rate securities, credit rating agencies, hedge funds and mortgage-backed securities. By Shepherd Smith Edwards & Kantas.

http://www.institutionalinvestorsecuritiesblog.com/
Rank this Week: 432

Representing Investors

Representing Investors

Covers securities arbitration, litigation and regulatory news. By Maddox Hargett & Caruso, P.C.

http://www.investorprotection.com/blog
  • Dec 18

    Merrill Lynch Fined $1.9M and Ordered to Pay $540k Restitution by FINRA

    Merrill Lynch Fined $1.9M and Ordered to Pay $540k Restitution by FINRA
    FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million for fair pricing and supervisory violations in connection with more than 700 retail customer transactions in distressed securities over a two-year time…
  • Dec 16

    10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO

    10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO
    Citigroup Inc., Goldman Sachs Group Inc. and eight other securities firms were fined $43.5 million by regulators who said the companies presented favorable stock research in hopes of winning underwriting business in an initial public offering…
  • Dec 12

    Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award

    Fredrick Griffin v. Rockwell Global Capital LLC FINRA Dispute Resolution Award
    Griffin requested compensatory damages of approximately $200,000.00, attorneys’ fees, interest, costs, punitive damages, and such in a claim against Rockwell Global Capital LLC in January 2013. Griffin stated that Rockwell Global…
Rank this Week: 393

Ponzitracker

Ponzitracker

Covers Ponzi schemes. By Jordan Maglich.

http://www.ponzitracker.com/
  • Aug 21

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered

    Ponzi Schemes Remain Prevalent In 2014; Over $1 Billion In New Schemes Uncovered
    Nearly six years after the word "Ponzi scheme" became a household name thanks to Bernard Madoff, Ponzi schemes continue to proliferate and leave a trail of financial destruction in their wake as demonstrated by newly-compiled data showing…
  • Aug 20

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme

    Former Attorney Gets 10-Year Sentence For $4 Million Ponzi Scheme
    A now-disbarred Minnesota attorney who swindled victims out of more than $4 million in an elaborate Ponzi scheme was sentenced to serve 10 years in federal prison.  Mark Holt, 45, received the sentence from U.S. District Judge Susan…
  • Aug 20

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme

    California Men Sentenced For $5 Million Real Estate Ponzi Scheme
    Two California men will each serve at least a decade in prison for operating a real estate Ponzi scheme that duped victims out of nearly $5 million.  Terrance Brown, of San Jose, California, and Antranik Kabajouzian, of Morgan City,…
Rank this Week: 408

Cosgrove Law Securities and…

Cosgrove Law Securities and Investment Blog

News and commentary on the latest securities and investment developments.

http://securitiesandinvestmentblog.blogspot.com/
  • Dec 16

    Are You Stuck in a REIT?

    Are You Stuck in a REIT?
    Realty Capital Securities, LLC (RCS) is a Boston-based unit of American Realty Capital (ARC).  According to its website, ARC is a “full service investment advisory firm sponsoring a series of investment programs with an emphasis on…
  • Nov 30

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?

    What Will be on the SEC’s 2015 Exam Priorities for Investment Advisers?
    Each January, The SEC’s National Exam Program (“NEP”) issues examination priorities for the year ahead.  The priorities are based upon the SEC’s evaluation of those areas in the financial markets that it believes…
  • Nov 30

    Business Torts in the Financial Industry Arena

    Business Torts in the Financial Industry Arena
    The attorneys at Cosgrove Law Group, LLC frequently handle business disputes on a contingent fee basis in arbitrations and the courts.  We are typically litigating in the financial industry arena where slashing, cross-checking and…
Rank this Week: 615

Corporate Securities Law Blog

Corporate Securities Law Blog

Focuses on complliance, corporate governance, disclosure, mergers and tax issues. By Sheppard Mullin.

http://www.corporatesecuritieslawblog.com/
  • Dec 11

    Second Circuit Limits “Tippee” Insider Trading Liability

    Second Circuit Limits “Tippee” Insider Trading Liability
    In United States v. Newman, No. 13-1837 (2d Cir. Dec. 10, 2014), the United States Court of Appeals for the Second Circuit reversed the 2013 convictions of Anthony Chiasson and Todd Newman on charges of conspiracy to commit insider trading…
  • Dec 5

    Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policie

    Recent SEC Enforcement Actions Highlight Importance of Robust Insider Trading Compliance Policie
    Recently the SEC announced enforcement actions which highlight the importance of complying with the beneficial ownership reporting requirements under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934, or the Exchange Act.…
  • Nov 24

    How Will the White House Announcement on Immigration Affect Your Company?

    How Will the White House Announcement on Immigration Affect Your Company?
    Most companies will be impacted by the immigration initiatives announced by the White House this week.  It will take up to several months for the initiatives to be implemented in order to give the U.S. Department of Homeland Security…
Rank this Week: 580

BD Law Blog

BD Law Blog

Features news, updates and thoughts regarding broker-dealer and investment adviser regulation and legal and compliance issues. By the Beck Law Firm, LLC.

http://www.bdlawblog.com/
  • Dec 9

    SEC Sanctions Audit Firm

    SEC Sanctions Audit Firm
    The SEC announced settled administrative proceedings against eight audit firms for alleged violations of the auditor independence rules in connection with audits of broker-dealers. According to the SEC's press release, in agreeing to settle…
  • Nov 11

    The Basics of Rule 2510 - Discretionary Account

    The Basics of Rule 2510 - Discretionary Account
    NASD Rule 2510 governs discretionary accounts. It details how discretionary accounts are to be established and also sets forth the requirements for the use of time and price discretion. In this short video, Joel Beck provides an overview of…
  • Nov 10

    The Basics of Rule 3050 - Outside Accounts for Stockbrokers & Associated Person

    The Basics of Rule 3050 - Outside Accounts for Stockbrokers & Associated Person
    NASD Rule 3050 governs transactions by or for associated persons and it requires associated persons of a FINRA-member broker-dealer to disclose their outside securities accounts to their firm, and to disclose their status as an associated…
Rank this Week: 520

Federal Securities Law Blog

Federal Securities Law Blog

FedSecLaw.com is devoted to highlighting current issues in securities laws, discussing the ramifications of those issues for today’s businesses, and providing bottom-line takeaways for busy owners, managers, and executives. By Porter Wright Morris & Arthur LLP.

http://www.fedseclaw.com/
  • Dec 3

    A compliance problem truly “Made in the USA”

    A compliance problem truly “Made in the USA”
    Following the expiration of a public comment period last week, the ink is now dry on the Federal Trade Commission’s consent decree against Made in USA Brand, LLC, settling charges that the Columbus, Ohio-based company sold its…
  • Nov 25

    FCPA to increasingly target individual

    FCPA to increasingly target individual
    The head of the Department of Justice (DOJ) Criminal Division warned Friday that Foreign Criminal Practices Act (FCPA) prosecutions will increasingly target individuals wrongdoers, rather than corporations. Assistant Attorney General Leslie…
  • Oct 10

    “The Bandits’ Club” gets its due

    “The Bandits’ Club” gets its due
    Our colleagues at Antitrust Law Source posted an interesting update about probable charges alleging that traders at approximately a dozen global banks – including Deutsche Bank, JPMorgan Chase, Barclays, and USB – fixed the…
Rank this Week: 524

InvestorLawyers.net

InvestorLawyers.net

Covers the right to recover money from dishonest stockbrokers and investment advisers.

http://www.investorlawyers.net/blog/
Rank this Week: 523

ComplianceAsia News

ComplianceAsia News

Provides information for compliance professionals dealing with issues in financial regulation with a focus on the Asian region.

http://www.compliance.asia/
  • Feb 6

    WSJ report highlights significant concerns about the nature of global AML system

    WSJ report highlights significant concerns about the nature of global AML system
    Finally there is some reporting about the dirty little secret of global AML enforcement - it might not work.  The following was reported in the Wall Street Journal today and we recommend you read the full article: The Morning Risk…
  • Oct 27

    New FATF announcements regarding the progress various countries are making on AML CFT

    New FATF announcements regarding the progress various countries are making on AML CFT
    On Friday the SFC sent around a circular to licensed firms with details of a number of additions to the AML sanctions regime and this included advice from the FATF that some countries were not doing enough to improve their AML CFT…
  • Oct 23

    Mary Jo White sets out her views on the role of compliance

    Mary Jo White sets out her views on the role of compliance
    SEC Chair, Mary Jo White, recently spoke to an industry association in the United States and talked about the importance of the rule of compliance officers.  Here is the speech: Remarks at National Society of Compliance Professionals…
Rank this Week: 572

TheCorporateCounsel.net Blog

TheCorporateCounsel.net Blog

Covers corporate and securities law. By Broc Romanek.

http://www.thecorporatecounsel.net/Blog/
  • Dec 18

    IFRS: The SEC’s Saga Continue

    IFRS: The SEC’s Saga Continue
    During the recent annual AICPA Conference, SEC Chief Accountant Jim Schnurr delivered this speech about the SEC possibly continuing to consider the use of IFRS by domestic companies. As noted in this blog by George Wilson: “While he did…
  • Dec 17

    Transcript: “Proxy Access: A New World of Private Ordering”

    Transcript: “Proxy Access: A New World of Private Ordering”
    We have posted the transcript for our recent popular webcast: “Proxy Access: A New World of Private Ordering.” I’m not a big SNL fan – but this recent bit about Hobbits in the style of “The Office” is…
  • Dec 16

    Conflict Minerals: Briefs Filed in Appeals Case

    Conflict Minerals: Briefs Filed in Appeals Case
    As noted in this Cooley blog and Davis Polk blog, the SEC, intervenor Amnesty International and amici Global Witness and Free Speech for People have filed their briefs in support of upholding the conflict minerals disclosure requirement in…
Rank this Week: 758

Securities Law Blog

Securities Law Blog

Features news, commentary and thoughts on the law of the securities markets. By Mark Astarita.

http://seclaw.blogspot.com/
  • Dec 15

    Fallout from Landmark Insider Trading Decision Begin

    Fallout from Landmark Insider Trading Decision Begin
    A ruling that tossed out the insider trading convictions of two hedge fund managers may have opened the door for others charged with wrongful trading to get their cases or pleas dismissed.US District Court Judge, Andrew L. Carter Jr.,…
  • Dec 12

    Efforts Continue to "BankofAmericanize" Merrill Brokers - No Compensation for "Small" Account

    Efforts Continue to "BankofAmericanize" Merrill Brokers - No Compensation for "Small" Account
    I am not quite sure when a $250,000 account became a small account, but Merrill Lynch told its brokers on Wednesday that it is eliminating pay for servicing clients with less than $250,000Now, if you are a client at Merrill, with an account…
  • Dec 11

    Fraudulent Apple Trades Cost Morgan Stanley $4 Million in Fine

    Fraudulent Apple Trades Cost Morgan Stanley $4 Million in Fine
    Morgan Stanley will pay $4 million to settle charges that it failed to stop a rogue Rochdale Securities LLC trader from fraudulently buying $525 million in Apple stock in 2012.For more information, go to Morgan Stanley Fined $4 Million for…
Rank this Week: 766

The 10b-5 Daily

The 10b-5 Daily

Covers securities class action litigation. By Lyle Roberts.

http://www.the10b-5daily.com/
  • Dec 12

    Interpreting Halliburton

    Interpreting Halliburton
    In its Halliburton II decision, the Supreme Court held that a securities fraud defendant can overcome the fraud-on-the-market presumption of reliance at the class certification stage of a case “through evidence that the…
  • Nov 24

    One Percent Responsible

    One Percent Responsible
    Longtop Financial Technologies, a Chinese financial software company, was a notorious financial fraud (see here for a NYT column on the discovery of the fraud).  Both its outside auditors, Deloitte Touche Tohmatsu, and its…
  • Nov 5

    Omnicare Argued

    Omnicare Argued
    On Monday, the U.S. Supreme Court heard oral argument in the Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund case, which addresses the pleading standard for a claim under Section 11 of the…
Rank this Week: 765

Page Perry LLC Blog

Page Perry LLC Blog

Covers securities broker abuses, early retirement scams, elder abuses, subprime mortages, collateralized debt obligations, and annuities.

http://www.pageperry.com/blog/
  • Jul 16

    CYNK Latest Wall Street Trap?

    CYNK Latest Wall Street Trap?
    Cynk is a social network company that has no revenue, no assets, and no profits. Until last week, it was the hottest stock on Wall Street, according to a Business Insider report by Hunter Walker and Julia La Roche (July 14, 2014).  Its…
  • Jul 14

    Former LPL Broker Jason Parker Leaves Trail Of Complaint

    Former LPL Broker Jason Parker Leaves Trail Of Complaint
    By law, a broker has to recommend suitable investments. To be considered suitable, an investment should align with the client’s investment objectives. Dumping all client funds into a single foreign stock, despite the client’s low…
  • Jun 13

    Pension Advisers Fall Under Scrutiny

    Pension Advisers Fall Under Scrutiny
    The problem of conflicts of interest for pension advisers attracted Congressional attention, according to a Wall Street Journal article by Dan Fitzpatrick  (June 9, 2014).  U.S. Representative George Miller (D., Calif.) has written…
Rank this Week: 653

Securities Arbitration Blog

Securities Arbitration Blog

Covers the happenings in the Securities and Investment Fraud Sector. By Guiliano Law Firm.

http://www.securitiesarbitrations.com
  • Jun 10

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer

    Pittsburgh Area Stockbroker Patricia S. Miller Alleged to Have Stolen Millions from Customer
    andnbsp;Hairdressor, Marcy Salandra went to her stockbrokerandrsquo;s office at Investors Capital Corporation in McMurray Pennsylvania to withdraw money to buy a house. andnbsp;However, instead of meeting her broker Patricia S. Miller, she…
  • Apr 18

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get

    Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get
    Last year, a Connecticut based hedge fund, Turnberry Capital Management LP, filed a FINRA arbitration securities claim against SunTrust Banks, Inc. to recover $13 million it lost in 2007 by investing in mortgage backed securities. However,…
  • Mar 13

    Investment Fraudsters: You have a friend in Pennsylvania

    Investment Fraudsters: You have a friend in Pennsylvania
    What does a big firm commercial defense lawyer, a banker, a healthcare lobbyist, a parking authority commissioner and an Allegheny parks commissioner all have in common? andnbsp; Apparently, they are all friends of Pennsylvania Governor Tom…
Rank this Week: 742

VC Research Network

VC Research Network

Venture Capital blawg by Boalt Hall Law School Law Professors Jesse M. Fried, Ken Taymor, and Robert Bartlett, III

http://vc.berkeleylawblogs.org/
  • Apr 5

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup

    Carrots & Sticks: How VCs Induce Entrepreneurial Teams to Sell Startup
    [Editor’s Note: This post comes to us from Professors Jesse Fried and Brian Broughman] Venture capitalists (VCs) play a significant role in the financing of high-risk, technology-based business ventures. VC exits usually take one of…
  • Mar 26

    Delaware Law as Lingua Franca: Theory and Evidence

    Delaware Law as Lingua Franca: Theory and Evidence
    [Editor’s Note: This post comes to us from Professors Jesse Fried, Brian Broughman and Darian Ibrahim) Delaware dominates the corporate chartering market in the U.S—it is the only state that attracts a significant number of…
  • Feb 27

    The Dynamics of Venture Capital Contract

    The Dynamics of Venture Capital Contract
    (Editor’s Note: This post comes to us from Professors Carsten Bienz and Julia Hirsch).
Rank this Week: 716

Securities Compliance Sentinel

Securities Compliance Sentinel

Covers securities industry compliance and enforcement issues. By Fox Rothschild LLP.

http://securitiescompliancesentinel.foxrothschild.com
  • Dec 18

    Reverse-Flash: SEC and FINRA Looking to Slow High-Speed Traders?

    Reverse-Flash: SEC and FINRA Looking to Slow High-Speed Traders?
    High-frequency trading is the latest craze hitting the market.  Popularized by Michael Lewis’s Flash Boys, high-frequency or high-speed trading involves the use of sophisticated technological tools and computer algorithms to…
  • Dec 11

    Who Wants To Speak With Me, Oh No

    Who Wants To Speak With Me, Oh No
    Anyone in a service industry has had that dreaded feeling.  You see your email or caller identification and realize it is “that” client trying to reach you.  The client I reference is that extremely difficult client that…
  • Dec 8

    I Just Got A Client, Now What

    I Just Got A Client, Now What
    After the obvious, make and execute on investment recommendations, some are at a loss for what to do next.  From my perspective, it is the next step that may mean the difference from having a career without customer complaints to one…
Rank this Week: 1102

Stock Market Loss

Stock Market Loss

Covers misconduct by brokerage firms or financial advisors. By Hermann, Cahn & Schneider, LLP.

http://www.stockmarketloss.com/news/
  • Dec 15

    FINRA Members Denounce Unfair Aspects of Administrative Proceeding

    FINRA Members Denounce Unfair Aspects of Administrative Proceeding
    This article was originally posted on Stock Market Loss The Financial Industry Regulatory Association (FINRA), a self-regulatory organization created and funded by the brokerage industry, wields powers ceded to it by its benevolent overseer,…
  • Sep 26

    Not Quite Investments: Binary Options Are Purely A Gamble

    Not Quite Investments: Binary Options Are Purely A Gamble
    This article was originally posted on Stock Market Loss The Ohio Division of Securities recently initiated an administrative action against an online binary options platform operating from the United Kingdom. The Division alleges that Vault…
  • Jul 28

    VARIABLE LIFE INSURANCE ALERT!

    VARIABLE LIFE INSURANCE ALERT!
    This article was originally posted on Stock Market Loss The lawyers of stockmarketloss.com, a practice group of Cleveland, OH law firm Hermann, Cahn & Schneider LLC, are receiving a growing number of inquiries from victims of variable…
Rank this Week: 1024

North Carolina Business Litigation…

North Carolina Business Litigation Report

Reports on judicial decisions of significance to business and shareholders. By Mack Sperling of Brooks Pierce LLP.

http://www.ncbusinesslitigationreport.com/
Rank this Week: 1164

Hedge Fund Law Blog

Hedge Fund Law Blog

Covers hedge fund laws and starting a hedge fund.

http://www.hedgefundlawblog.com
  • Dec 4

    Hedge Fund Events December 2014

    Hedge Fund Events December 2014
    The following are various hedge fund events happening this month. Please email us if you would like us to add your event to this list. **** Date: December 3, 2014 Sponsor: Morgan Stanley Event: Dive into New Portfolio Strategies Location: New…
  • Nov 11

    3rd Annual Alternative Investments Summit – November 20th

    3rd Annual Alternative Investments Summit – November 20th
    Please see below information on the Seattle Investment Association event on November 20th. **** The Seattle Alternative Investment Association, together with the CFA Society of Seattle, invites you to join us on November 20th, 2014 for the…
  • Oct 26

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update

    Cole-Frieman & Mallon LLP 2014 Third Quarter Update
    www.colefrieman.com October 23, 2014 Clients and Friends: It has already been a busy fourth quarter, but we would like to take this opportunity to provide you with a brief overview of some of the legal, business and regulatory updates from…
Rank this Week: 904

California Securities Fraud Lawyer…

California Securities Fraud Lawyer Blog

Covers securities regulation, fiduciaries, and securities disputes news and updates. Published By Alcala Law Firm.

http://www.californiasecuritiesfraudlawyerblog.com/
  • May 1

    March - April 2014 Disciplinary Action

    March - April 2014 Disciplinary Action
    William Jeffrey Austin (WBB Securitiies, Redlands, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. The…
  • Apr 24

    Update: Charles Schwab to Allow Customer Class Action

    Update: Charles Schwab to Allow Customer Class Action
    Today, Charles Schwab agreed to end a long standing dispute over their customer's right to participate in securities class action lawsuits. In a settlement reached with the Financial Industry Regulatory Authority (FINRA), Charles Schwab…
  • Mar 24

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale

    Regulators Fine LPL Financial LLC $950,000 Over Unsuitable Alternative Investments Sale
    Today, LPL Financial LLC reached a settlement with the Financial Industry Regulatory Authority (FINRA) over the firm's failure to adequately supervise the sale of non-traded REITs and other risky alternative investments. LPL's settlement…
Rank this Week: 957

SEC Lawyers Blog

SEC Lawyers Blog

Covers stock fraud. By Sonn & Erez, PLC.

http://www.seclawyersblog.com/
Rank this Week: 1947

Startup Law Blog

Startup Law Blog

Covers legal and regulatory developments in startup, securities law and regulation. By Joe Wallin.

http://www.startuplawblog.com/
  • Nov 28

    Current Funding Trends and Capital Raising Tip

    Current Funding Trends and Capital Raising Tip
    How Are You Planning to Fund Your Big Idea in 2015? Due to cheaper tools, the cost of getting a startup off the ground has markedly decreased over the past dozen or so years. However, despite lower costs, it can … Continue reading…
  • Nov 4

    Crowdfunding Industry Panel

    Crowdfunding Industry Panel
    Earlier this year Governor Jay Inslee signed HB 2023 into law making equity Crowdfunding legal in Washington State and giving startups an innovative new way to raise funds. Under the bipartisan measure, a Washington business could raise up to…
  • Nov 3

    M&A from the CEO’s Perspective

    M&A from the CEO’s Perspective
    Please join us for the Pacific Rim M&A Institute’s Q4 session. The program features a panel discussion about M&A from the CEO’s perspective. The panel, moderated by Associate Professor, Anita Krug of the University of…
Rank this Week: 1996

William Carleton, Counselor @ Law

William Carleton, Counselor @ Law

Covers legal and investment issues facing emerging tech companies.

http://www.wac6.com/wac6/
  • Nov 16

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification

    ACA Webinar on Accredited Investor Definition and Established Angel Group Certification
    I've just listened to an archived recording of an excellent webinar presented by the Angel Capital Association last week (I had intended to listen in real time, but got pulled away): ACA Webinar on Accredited Investor Definition and…
  • Nov 4

    A Sestina About Copyright

    A Sestina About Copyright
    Sestinas are all about copyright!
  • Oct 26

    Alan Bennett's anthology of six English poet

    Alan Bennett's anthology of six English poet
    Thanks to a London nephew, I'm reading Six Poets: Hardy to Larkin, an anthology of poems by Hardy, Housman, Betjeman, Auden, MacNeice and Larkin, chosen by the English playwright Alan Bennett, with commentary by Bennett between each presented…
Rank this Week: 1394

Andrew Abramowitz, PLLC

Andrew Abramowitz, PLLC

News, advice, and trends from the corporate law world.

http://aalegalnyc.com/blog/
  • Nov 7

    SEC Crackdown on Undisclosed Unregistered Offering

    SEC Crackdown on Undisclosed Unregistered Offering
    I blogged recently about an SEC crackdown on failure to make required filings under Sections 13 and 16 of the Exchange Act, and continuing with that theme, the SEC recently announced a enforcement program against several public companies for…
  • Oct 22

    Virtual Law Office

    Virtual Law Office
    I live in the quaint seaside town of Port Washington, Long Island (at least, it’s as quaint as is possible 20 miles from Manhattan). Local residents have, in the past year or so, been much more likely to see me around town running…
  • Oct 21

    Interesting Reads for the Week of Oct 20

    Interesting Reads for the Week of Oct 20
    Some interesting legal reads for the week of October 20, 2014: DealBook on a trend in private equity to open investments to individual investors, not just institutional investors, though there are still relatively high minimum investments and…
Rank this Week: 1224

Business Law Post

Business Law Post

Covers corporate law, securities law, intellectual property, and social entrepreneurship. By Arina Shulga.

http://www.businesslawpost.com
  • Oct 6

    CPOs Can Now Engage in General Solicitation

    CPOs Can Now Engage in General Solicitation
    The big legal news in September was that the staff at the Commodity Futures Trading Commission (CFTC) published an exemptive letter No. 14-116 (available here) that allows certain commodity pool operators (CPOs) to engage in general…
  • Aug 22

    New Seed Financing Documents (500 Startups and Y Combinator)

    New Seed Financing Documents (500 Startups and Y Combinator)
    The startup industry keeps on coming up with new innovative solutions to seed financing.  The latest trend is convertible equity.  Two startup venture funds and incubators, 500 Startups and Y Combinator, recently released their…
  • Aug 22

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC

    Unregistered IPOs of Bitcoin Companies Do Not Go Unnoticed By the SEC
    As I previously discussed in my blog here, the SEC does not have a mandate to regulate Bitcoin. Not unless it is used in a securities offering, especially in an unregistered initial public offering conducted over the Internet in violation of…
Rank this Week: 1808

Tim O'Connor's Blog

Tim O'Connor's Blog

Covers stockbroker fraud.

http://stockbrokerlaw.com/tim-oconnors-blog
  • Aug 12

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie

    ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciarie
    ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. These products, including structured products, auction rate notes, private placements, managed…
  • Jul 31

    Tenants-in-Common Investments: An Accident Waiting to Happen

    Tenants-in-Common Investments: An Accident Waiting to Happen
    The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided interests in the property. Section 1031 of the Internal Revenue Code codified permissible…
  • Jul 21

    New York State Deferred Compensation Plan Beneficiary Designation

    New York State Deferred Compensation Plan Beneficiary Designation
    The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be mailed to an address in Ohio, not New York State. The New York State Deferred Compensation Plan…
Rank this Week: 2094

Wall Street Investment Fraud…

Wall Street Investment Fraud Lawyer Blog

Covers Ponzi schemes, investment fraud, and other scams. By The Doss Firm.

http://www.wallstreetinvestmentfraudlawyer.com/
  • Jan 13

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS

    STIFEL NICOLAUS AND CENTURY SECURITIES CONSENT TO FINES OVER IMPROPER SALES OF LEVERAGED AND INVERSE ETFS
    According to a recent news release, the Financial Industry Regulatory Authority (FINRA) has fined Stifel, Nicolaus & Company, Incorporated and an affiliate $550,000 ordered them to pay approximately $475,000 in restitution to 65 customers…
  • Jan 9

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud

    J. P. Morgan Chase Avoids Criminal Prosecution for Hosting Madoff Fraud
    Banking giant J. P. Morgan Chase has reached a deal with federal prosecutors to avoid criminal prosecution for its role in the Bernard Madoff Ponzi scheme. According to the prosecutors, J. P. Morgan, which had custody of Madoff accounts,…
  • Jan 9

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS

    FINRA IDENTIFIES AREAS OF CONCERN FOR INVESTORS
    Each year, the Financial Industry Regulatory Authority (FINRA) publishes a letter to the financial services industry identifying its regulatory and examination priorities. FINRA is the industry's "self-regulatory organization," which is…
Rank this Week: 1733

About Broker Fraud Blog

About Broker Fraud Blog

Covers compliance rules, duty of disclosure, elder abuse and fraud. By the Hayes Law Firm.

http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
  • Dec 6

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme

    SEC Freeze Assets in Alleged Diamond-Themed Ponzi Scheme
    The SEC alleges that Richard Dalton and Universal Consulting Resources LLC (UCR) raised approximately $17 million from investors for two fraudulent offerings. The programs were generally referred to as the “Trading Program” and the…
  • Sep 28

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case

    Arbitrators Award Ten Times Amount of Investment in Auction Rate Securities Case
    Last month an arbitration panel ordered the investment firm USB financial to pay over $80 million in consequential investments to Kajeet, Inc., a company who markets cellphones for kids. Kajeet’s award fell short of the $110 million…
  • Aug 30

    Raymond James Must Buy Back Auction Rate Securitie

    Raymond James Must Buy Back Auction Rate Securitie
    A Texas couple got some great news last week from the FINRA arbitration panel that ruled on their claim. The panel ruled that the Raymond James Financial Inc. and broker Larry Milton must buy back some $925,000 worth of auction…
Rank this Week: 1723

Strictly Business

Strictly Business

Covers business law for entrepreneurs, emerging companies and the investment management industry. By Alexander J. Davie.

http://www.strictlybusinesslawblog.com/
Rank this Week: 4402

May Law, PC Blog

May Law, PC Blog

Covers investment law, securities laws the requirements of the Financial Industry Regulatory Authority (FINRA).

http://www.maylawpc.net/category/blog/
  • Dec 18

    Is Arbitration Cheaper than Litigation?

    Is Arbitration Cheaper than Litigation?
    Many think that arbitration is less expensive than litigation. As a result, many aggrieved investors begin the process with unrealistic expectations about how much it will cost.…
  • Nov 24

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry

    The Impact FINRA’s CARDS Plan Will Have on the Financial Industry
    The largest independent regulator of securities firms in the U.S., the Financial Industry Regulatory Authority (FINRA) purports to protect investors by making sure brokerage firms play by…
  • Nov 14

    The Top 5 Financial Crimes of the 21st Century

    The Top 5 Financial Crimes of the 21st Century
    At a time when violent crime rates are reaching historic lows, a different kind of criminal was getting filthy rich by fleecing others in America. Instead of…
Rank this Week: 3453

Canadian Securities Law Online

Canadian Securities Law Online

Covers Canadian securities law topics, including disclosures, corporate governance, mergers, registration and compliance. By Stikeman Elliott.

http://www.canadiansecuritieslaw.com/
  • Dec 18

    IIROC publishes academic papers assessing impact of high frequency trading

    IIROC publishes academic papers assessing impact of high frequency trading
    The Investment Industry Regulatory Organization of Canada yesterday published three academic papers assessing the impact of high frequency trading on Canadian markets. The impact analysis represents the thrdr phase of IIROC's study on high…
  • Dec 17

    IIROC releases guidance regarding definition of foreign organized regulated market

    IIROC releases guidance regarding definition of foreign organized regulated market
    The Investment Industry Regulatory Organization of Canada earlier this week published guidance reminding dealers that trades executed off-marketplace in reliance of the exemption to execute trades on a foreign…
  • Dec 12

    IIROC proposes transaction-based debt market regulation fee model

    IIROC proposes transaction-based debt market regulation fee model
    The Investment Industry Regulatory Organization of Canada yesterday proposed a new transaction-based debt market regulation fee model.  While IIROC considered a number of options, it ultimately proposed a fee model based on primary…
Rank this Week: 3696