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SEC Requests Information and Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology
27 Aug 2021, 9:35 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
20 Sep 2021, 9:10 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
RBC Charged With Failing to Give Priority to Retail and Institutional Investors in Municipal Offerings
17 Sep 2021, 6:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges TheBull with Selling "Insider Trading Tips" on the Dark Web
9 Jul 2021, 12:20 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC, NASAA, and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention and Reporting of Financial Exploitation of Seniors
15 Jun 2021, 6:25 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors
22 Jul 2021, 10:50 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds
11 Jun 2021, 11:01 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges ICO Issuer and CEO With Fraud and Unregistered Securities Offering
22 Jun 2021, 9:15 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Decentralized Finance Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings
6 Aug 2021, 6:09 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Engages with Students for Their Perspectives on Emerging Issues
30 Jun 2021, 11:05 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme
17 Sep 2021, 11:35 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Three Actions Charging Deficient Cybersecurity Procedures
30 Aug 2021, 9:10 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Daniel S. Kahl Appointed Acting Director of the Division of Examinations; Peter B. Driscoll to Depart Agency
14 Jul 2021, 1:45 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Annual Regulatory Agenda
11 Jun 2021, 1:50 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Surpasses $1 Billion in Awards to Whistleblowers with Two Awards Totaling $114 Million
15 Sep 2021, 11:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Unlicensed Broker With Defrauding Investors
28 Jul 2021, 11:35 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme
25 Aug 2021, 6:45 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Former CEO of Technology Company With $80 Million Fraud
25 Aug 2021, 9:08 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards More Than $1 Million to Whistleblower
24 Jun 2021, 8:35 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Renee Jones to Join SEC as Director of Corporation Finance; John Coates Named SEC General Counsel
14 Jun 2021, 9:05 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/