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Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule
9 Jul 2019, 12:57 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee
9 Jul 2019, 10:06 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC
9 Jul 2019, 8:50 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Allison Herren Lee Sworn In As SEC Commissioner
9 Jul 2019, 8:06 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
3 Jul 2019, 3:05 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency
3 Jul 2019, 9:04 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Names Sagar Teotia As Chief Accountant
3 Jul 2019, 8:05 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Investment Adviser With Fraud
1 Jul 2019, 9:42 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses
27 Jun 2019, 9:20 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges New Defendant in $43 Million Tribal Bonds Scheme
26 Jun 2019, 2:50 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Chairman Clayton Highlights New Members of Executive Staff
26 Jun 2019, 1:06 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
26 Jun 2019, 12:50 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Names Sean Memon as Chief of Staff
26 Jun 2019, 11:05 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Chief of Staff Lucas Moskowitz to Leave the Agency
26 Jun 2019, 11:05 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Names Bryan Wood as Deputy Chief of Staff
26 Jun 2019, 11:05 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Names Vanessa Countryman to Lead the Office of the Secretary
24 Jun 2019, 9:13 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Joint Statement on Opportunistic Strategies in the Credit Derivatives Market
24 Jun 2019, 8:04 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
21 Jun 2019, 7:40 am by Astarita
 Variation margin will be calculated by marking the position to market. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Wins Jury Trial Against Broker Charged With Defrauding Customers
20 Jun 2019, 3:05 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors
20 Jun 2019, 12:01 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/