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22 Dec 2021, 9:15 pm
This paper considers a rulemaking effort underway at the Securities and Exchange Commission to regulate the conflicts of interest that result when brokers send client orders to venues that pay the broker a fee in exchange for routing to them. [read post]
11 Mar 2012, 8:08 am
Securities and Exchange Commission. [read post]
16 Feb 2023, 2:01 pm
The Securities and Exchange Commission today charged Singapore-based Terraform Labs PTE Ltd and Do Hyeong Kwon with orchestrating a multi-billion dollar crypto asset securities fraud involving an algorithmic stablecoin and other crypto asset securities…Read the Full Press ReleaseHave a securities law question? [read post]
27 Nov 2023, 12:35 pm
The Securities and Exchange Commission today adopted Securities Act Rule 192 to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. [read post]
16 Jan 2024, 5:46 am
The Securities and Exchange Commission today announced settled charges against J.P. [read post]
21 Nov 2021, 5:03 am
The Securities and Exchange Commission today announced that an affiliate of McKinsey & Company that offers investment options exclusively to current and former McKinsey partners and employees has agreed to pay an $18 million penalty for compliance…* This article was originally published here____ For More information on the United States Securities Law visit Securities Law Blog - SECLaw.com - News and Content from Securities… [read post]
22 Nov 2021, 5:12 am
The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. [read post]
20 Nov 2021, 5:12 am
The Securities and Exchange Commission today announced the appointment of Haoxiang Zhu, a professor of finance at the Massachusetts Institute of Technology, as Director of the agency’s Division of Trading and Markets, effective Dec. 10, 2021. [read post]
25 Jan 2023, 8:25 am
The Securities and Exchange Commission today proposed a rule to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. [read post]
20 Dec 2024, 6:15 am
The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for failing to file certain Suspicious Activity Reports (SARs) in a timely manner. [read post]
24 Nov 2021, 5:12 am
The Securities and Exchange Commission today announced awards totaling approximately $10.4 million to several whistleblowers who provided information and assistance in three separate covered actions. [read post]
25 Nov 2021, 5:01 am
The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on Dec. 2 by remote means. [read post]
27 Jul 2022, 1:35 pm
The Securities and Exchange Commission today separately charged J.P. [read post]
15 Jun 2012, 2:31 pm
The US Securities and Exchange Commission [official website] conducted an investigation and alleged that... [read post]
26 Nov 2021, 1:24 pm
The Securities and Exchange Commission today voted to adopt final rules requiring parties in a contested election to use universal proxy cards that include all director nominees presented for election at a shareholder meeting. [read post]
28 Apr 2025, 11:20 am
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new data and analysis on the key market areas of public issuers, exempt offerings, Commercial Mortgage-Backed Securities (CMBS), Asset-Backed Securities…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
27 Aug 2006, 12:30 pm
The United States Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers and the New York Stock Exchange, are expected to announce a civil settlement with Prudential Financial Inc. on Monday. [read post]
6 Nov 2013, 7:00 am
The Staff of the Securities and Exchange Commission Division of Trading and Markets issued advice on Securities Exchange Act of 1934 Rule 15a-6, involving registration exemptions for foreign broker-dealers. [read post]
13 Jan 2017, 8:19 am
[JURIST] The US House of Representatives [official website] approved the SEC Regulatory Accountability Act [materials] on Thursday, which requires the Securities and Exchange Commission [official website] to perform a cost-benefit analysis before implementing any new regulations. [read post]
17 Nov 2010, 7:24 am
The Securities and Exchange Commission and the Commodity Futures Trading Commission are working to administer a new whistleblower rule that could provide lottery-sized payouts to informants that provide valuable information in a successful case of securities law violation. [read post]
