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23 Feb 2024, 11:06 am
Ex-Morgan Stanley Broker Gary Chang Barred by Securities Regulators According to a press release, Chingyuan “Gary” Chang, a former registered representative and investment adviser representative, settled charges with the Securities and Exchange Commission (SEC) for misappropriating funds from brokerage customers and an advisory client. [read post]
23 Feb 2024, 11:04 am
The Securities and Exchange Commission has charged Tyler Loudon of Houston, Texas, with insider trading ahead of a February 2023 announcement that London-based oil and gas company BP p.l.c. agreed to acquire TravelCenters of America Inc., a full-service truck stop and travel center company headquartered in Ohio. [read post]
23 Feb 2024, 4:00 am
The SEC describes its recent amendments as follows: The amendments update the SEC’s Supplemental Ethics Rules, 5 CFR Part 4401.102, Supplemental Standards of Conduct for Members and Employees Securities and Exchange Commission. [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 10:00 pm
Effective May 28, 2024, following recent changes to US Securities and Exchange Commission and NASDAQ Stock Market rules, most standard broker-dealer securities transactions will have to be settled within one business day after the Deposit Withdrawal at Custodian date (DWAC or trade date). [read post]
22 Feb 2024, 2:05 pm
The Securities and Exchange Commission today adopted amendments to its ethics rules to strengthen and modernize its ethics compliance program. [read post]
22 Feb 2024, 1:45 pm
The Securities and Exchange Commission today charged Tyler Loudon of Houston, Texas, with insider trading ahead of a February 2023 announcement that London-based oil and gas company BP p.l.c. agreed to acquire TravelCenters of America Inc., a full-…Read the Full Press Release Have a securities law question? [read post]
22 Feb 2024, 6:30 am
Securities and Exchange Commission’s (SEC) proposed climate-related disclosure rule and the European Union’s (EU) Corporate Sustainability Reporting Directive (CSRD).[1] As discussed below, there is a certain core set of disclosure requirements common to these disclosure regimes, including those relating to the material risks that climate change poses to the company based on the Task Force for Climate Financial Disclosures (TCFD). [read post]
22 Feb 2024, 6:30 am
Securities and Exchange Commission’s (SEC) proposed climate-related disclosure rule and the European Union’s (EU) Corporate Sustainability Reporting Directive (CSRD).[1] As discussed below, there is a certain core set of disclosure requirements common to these disclosure regimes, including those relating to the material risks that climate change poses to the company based on the Task Force for Climate Financial Disclosures (TCFD). [read post]
21 Feb 2024, 7:45 am
TIAA-CREF Failed to Comply with Regulation Best Interest in connection with IRAs The Securities and Exchange Commission (SEC) has reportedly imposed a hefty fine exceeding $2.2 million on TIAA-CREF for its alleged failure to comply with Regulation Best Interest in its recommendations regarding individual retirement accounts (IRAs). [read post]
20 Feb 2024, 11:40 am
Securities and Exchange Commission (“SEC”) and the European Commission in the European Union (“EU”), are grappling with the environmental impacts generated by companies. [read post]
20 Feb 2024, 4:00 am
The Securities and Exchange Commission issued a Staff Review of the “Accredited Investor” Definition at the end of 2023. [read post]
19 Feb 2024, 10:00 pm
This resource includes discussion on existing and proposed disclosure requirements of the Securities and Exchange Commission (SEC) related to material ESG matters. [read post]
19 Feb 2024, 9:05 pm
Securities and Exchange Commission (SEC) recently proposed a rule that would require public companies to identify and disclose to investors climate-related risks, such as a corporation’s greenhouse gas emissions and vulnerability to extreme weather events. [read post]
FSTB launches consultation on the proposed licensing regime for providers of OTC VA trading services
18 Feb 2024, 9:38 pm
Background The licensing regime for VA trading platforms (the VATP regime) came into effect in June 2023, which requires VA service providers operating a VATP to be licensed by the Securities and Futures Commission (the SFC). [read post]
18 Feb 2024, 6:38 pm
Our Broker Fraud Attorney Teams Want To Talk To You Nearly one year after the US Securities and Exchange Commission (SEC) permanently barred American Portfolios Financial Services stockbroker Mark Lewton Hopkins, Shepherd Smith Edwards and Kantas (investorlawyers.com) are continuing to investigate claims of investment losses involving his former clients. [read post]
