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15 May 2024, 11:44 am
SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange Commission (SEC) announced it has settled charges against Hudson Valley Wealth Management Inc., a registered investment adviser based in New York, and its founder. [read post]
15 May 2024, 11:15 am
Sources: SEC Staff Publishes New Investment Adviser Statistics Report Report on Investment Adviser Statistics [read post]
15 May 2024, 9:55 am
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. [read post]
15 May 2024, 9:36 am
Respondents at all times acted with a willful intent to defraud Claimant, breached their fiduciary duties to him, and violated FINRA Rule 2111 (Suitability), SEC Regulation Best Interest (Reg BI), and FINRA Rule 3010 (Supervision). [read post]
15 May 2024, 5:58 am
BSA-1 (May 13, 2024)).SEC Chair Gary Gensler said the proposed rule is designed to make it more difficult to use false identities to establish customer relationships with investment advisers. [read post]
15 May 2024, 4:15 am
Subject to approval by the SEC, the new standard and related amendments will take effect on December 15, 2025. [read post]
15 May 2024, 4:10 am
The committee was established by the SEC Small Business Advocate Act of 2016. [read post]
14 May 2024, 12:39 pm
Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered investment advisers and exempt reporting advisers to have customer identification programs (CIPs). [read post]
14 May 2024, 12:17 pm
The SEC’s order finds that Hudson Valley and Conover violated the antifraud provisions of Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. [read post]
14 May 2024, 11:55 am
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…Read the Full Press Release Have a securities law question? [read post]
14 May 2024, 10:15 am
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to…Read the Full Press Release Have a securities law question? [read post]
14 May 2024, 6:12 am
By Suzanne CosgroveThe challenge of financial market oversight is that regulators cannot examine investor protection, efficiency, competition and capital formation in a “steady state ecosystem,” SEC Commissioner Mark Uyeda said Friday in a speech to the Eleventh Annual Conference on Financial Market Regulation, an event co-sponsored by the SEC’s Division of Economic and Risk Analysis (DERA).That’s because the markets are fast-changing, “with multiple… [read post]
14 May 2024, 2:50 am
The SEC, as mandated by Congress, has an important role to promote data as a public good. [read post]
13 May 2024, 10:00 pm
Shadow trading is a form of insider trading that refers to trading in the securities of one company based on material nonpublic information about another company. [read post]
13 May 2024, 9:01 pm
According to SEC, a consultant working for Rio Tinto offered to pay a bribe of at least $822,000 to a Guinean government official in an effort to retain mining rights in the country. [read post]
13 May 2024, 6:19 pm
The French Yearbook of Public Law describes itself this way: The objective of the “French Yearbook of Public Law” is to narrow the gap which has tended to develop between the French and the international debate on public law. [read post]
13 May 2024, 3:42 pm
” See SEC Form 10–K; SEC Form 10–Q. [read post]
13 May 2024, 2:03 pm
For example, former SEC Commissioner Allison Herren Lee wrote an article outlining why these elements were critical to the success of the SEC Whistleblower Program and thus serve as a strong model for the DOJ. [read post]
13 May 2024, 12:24 pm
Short title.This Act may be cited as the “Setting Consumer Standards for Lithium-Ion Batteries Act”.SEC. 2. [read post]
13 May 2024, 8:54 am
SEC adopts climate disclosure rules for corporations. [read post]
