Search for: "National Association of Securities Dealers, Inc. v. Securities and Exchange Commission"
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19 Apr 2024, 9:27 am
The Securities and Exchange Commission (“SEC”) approved 11 spot Bitcoin exchange-traded funds (“ETFs”) on January 10, 2024, marking a historic moment in the crypto industry. [read post]
31 Jan 2024, 11:31 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
27 Dec 2023, 6:09 pm
FINRA, the regulator that oversees brokers and brokerage firms, and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
24 Oct 2023, 9:01 pm
It detailed Perella Weinberg’s self-report and cooperation.[13] In that case, the Commission ordered a $2.5 million penalty – a very substantial reduction from the penalties imposed on other broker-dealers and advisers. [read post]
20 Oct 2023, 2:40 pm
In a September 11, 2023 press release, the Securities and Exchange Commission (“SEC”) announced that it charged nine registered investment advisers for showing hypothetical performance results on their websites without adopting the necessary policies and procedures required under the SEC’s new marketing rules and regulations (the “New Marketing Rules”). [read post]
13 Feb 2023, 7:28 am
”Panelist David Olivencia, CEO of Angeles Investors, recalled an exchange with a prospective angel investor who did not qualify as an accredited investor. [read post]
23 Jan 2023, 9:01 pm
Restricted competition trading center: Any trading center that is not an open competition trading center and is not a national securities exchange. [read post]
15 Dec 2022, 8:00 am
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
15 Dec 2022, 4:00 am
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
26 Aug 2022, 4:00 am
Senate hopefuls are getting crushed on airwaves across the country while their national campaign fund is pulling ads and running low on cash, leading some campaign advisers to demand an audit of the National Republican Senatorial Committee’s (NRSC) finances. [read post]
24 Aug 2022, 5:01 am
The Securities and Exchange Commission (SEC) conducts regular examinations of broker-dealers and investment firms and has made “identification and assessment of cybersecurity risks” one focus of those exams since at least its 2014 Risk Alert. [read post]
8 Dec 2021, 11:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
8 Dec 2021, 7:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
16 Nov 2021, 6:08 am
Its shares are not listed and do not trade on a registered national securities exchange. [read post]
13 Aug 2021, 4:00 am
They and other national and local GOP officials cast their opposition to such measures as an effort to protect personal choice. [read post]
22 Dec 2020, 9:43 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
16 Apr 2020, 4:55 am
Reg BI establishes a “best interest” standard for broker-dealers and associated persons when making recommendations to retail customers involving securities. [read post]
13 Mar 2020, 6:31 am
National Australia Bank Ltd. [read post]
