Search for: "Mark Astarita"
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Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
23 Jun 2016, 7:15 am
The SEC appreciates the assistance of the Public Company Accounting Oversight Board.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
13 Jul 2016, 10:12 am
SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
19 May 2016, 8:56 am
Postal Inspection Service, and Financial Industry Regulatory Authority.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
31 Aug 2017, 2:11 pm
Telle earned her undergraduate degree from Vanderbilt University, where she was a Chancellor's Scholar, and is an evening student at Catholic University's Columbus School of Law.Other Members of the Executive StaffLucas MoskowitzChief of StaffBioSean MemonDeputy Chief of StaffBioJaime KlimaChief CounselBioPeter UhlmannManaging ExecutiveBioChristopher HetnerSenior Advisor to the Chair for Cybersecurity PolicyBioSEC Press Release--- If you need help with a securities litigation, arbitration… [read post]
13 Jul 2016, 10:12 am
The report would include the number of: Shares sent to the broker-dealerShares executed by the broker-dealer as principalInstitutional orders exposed by the broker-dealer through actionable indications of interest, and the venues to which they were exposedThe report also would include the following information for each venue to which the broker-dealer routed institutional orders for the customer, in the aggregate and broken down by passive, neutral, and aggressive order routing strategies as… [read post]
15 Apr 2016, 6:03 am
The rules are designed to enhance transparency, facilitate informed customer decision-making and heighten standards of professional conduct to better protect investors.Highlights of the RulesProvisions Applicable to Security-Based Swap EntitiesThe rules, among other things, require security-based swap dealers and major security-based swap participants to:· Verify whether a counterparty is an eligible contract participant and whether it is… [read post]
28 Sep 2016, 11:44 am
Rule 17Ad-22(e)(6) would require a covered clearing agency to have policies and procedures for marking positions to market, collecting margin at least daily, and conducting daily backtesting, monthly sensitivity analyses, and performing model validation at least annually. [read post]
14 Jun 2010, 5:00 am
Atkins October 9, 2007 SEC Division of Enforcement Enforcement Manual SEC Release No. 5310 SEC’s Form 1662 The Wells Notice in SEC and NASD Investigations by Mark Astarita in SEC Law .com Evaluating the Mission: A Critical Review of the History and Evolution of the SEC Enforcement Program by: Paul S. [read post]
28 Oct 2011, 5:00 am
Showing Judgment Firms Must Protect Customer Information – Always by Mark Astarita in SEClaw.com The SEC has provided another example of an unintentional violation [of Regulation S-P], and charged three former brokerage executives for failing to protect confidential information about their customers. [read post]
6 Jul 2009, 4:00 am
Astarita on SECLaw.com – The Securities Law Blog Workplace Computers and the Attorney Client Privilege - Part 2 by Paul G. [read post]
23 May 2019, 12:28 pm
In recognition of the one-year anniversary of the passage of The Senior Safe Act, the Securities and Exchange Commission, the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have issued a fact sheet to help raise awareness among broker-dealers, investment advisers, and transfer agents of the Act and how the Act’s immunity provisions work.The Senior Safe Act Fact Sheet provides information on the immunity and training… [read post]
16 Sep 2023, 4:28 am
By Mark Astarita. [read post]
16 Sep 2023, 4:28 am
By Mark Astarita. [read post]
10 May 2019, 7:05 am
The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps transactions and market participants.The proposals are intended to improve the regulatory framework by pragmatically addressing implementation issues and efficiency concerns, and in some cases further harmonizing the regulatory regime governing security-based swaps administered by the Commission with the regulatory… [read post]
5 Jun 2019, 9:29 am
The Securities and Exchange Commission today voted to adopt a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, bringing the legal requirements and mandated disclosures in line with reasonable investor expectations, while preserving access (in terms of choice and cost) to a variety of investment services and products. [read post]
27 Apr 2016, 9:03 am
The Securities and Exchange Commission today voted to publish for public comment a proposed national market system (NMS) plan to create a single, comprehensive database that would enable regulators to efficiently track all trading activity in the U.S. equity and options market. [read post]
21 Jun 2019, 7:40 am
Variation margin will be calculated by marking the position to market. [read post]
17 Jul 2012, 2:58 am
By Mark Astarita. [read post]
