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17 Nov 2021, 12:32 pm by jeffreynewmanadmin
Securities and Exchange Commission (SEC) Gary Gensler has asked staff to recommend rules around ensuring principal trading firms (PTFs) are appropriately registered as dealers, calling for improved transparency in the world’s biggest bond market. [read post]
13 Jun 2022, 6:56 am by jeffreynewmanadmin
Charles Schwab Corp. shares slid 1.7% Friday, after the brokerage and wealth-management company said it expects to book a charge of at least $200 million in the second quarter relating to a Securities and Exchange Commission investigation of its robo-advisory business. [read post]
20 Feb 2020, 9:01 pm by Tamar Frankel
The Securities and Exchange Commission (SEC) recently passed Regulation Best Interest (Regulation BI), which imposes on broker-dealers a commitment to act in the best interests of their clients. [read post]
3 Jun 2022, 6:59 am by jeffreynewmanadmin
HE CAN BE REACHED AT 978-880-4758 OR AT JNEWMAN@NEWMANSHAPIRO.COM The post Securities and Exchange Commission charges steel pipe manufacturer with violating Foreign Corrupt Practices Act for Brazilian bribes. [read post]
5 Jun 2015, 1:06 pm by Legal Profession Prof
Securities and Exchange Commission won a judgment against Washington attorney... [read post]
9 Mar 2011, 5:56 am by Glenn Reynolds
SECURITIES AND EXCHANGE COMMISSION WORKERS IN CHICAGO disciplined for porn at work. [read post]
17 Feb 2012, 4:36 am by Glenn Reynolds
DID THE SECURITIES & EXCHANGE COMMISSION violate the Administrative Procedure Act? [read post]
1 Mar 2018, 11:29 am by Jeff Ifrah
As predicted, the Securities and Exchange Commission (SEC) has taken additional steps to clamp down on the exploding ICO market: yesterday the Wall Street Journal  reported the agency had issued “dozens of subpoenas and information requests to technology companies and advisors. [read post]
25 Mar 2021, 1:04 pm by jeffreynewmanadmin
Securities & Exchange Commission investigating Japanese telecom company Softbank Group for possible market manipulation appeared first on Newman & Shapiro. [read post]
3 Jun 2020, 6:17 am
Securities and Exchange Commission (SEC) if the Public Company Accounting Oversight Board (PCAOB) is prevented from reviewing the companies’ audits. [read post]
21 Jun 2022, 9:04 am by jeffreynewmanadmin
The Securities and Exchange Commission has charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with the Commission in certain ratings classes, with violating conflict of interest provisions. [read post]
9 Feb 2010, 4:17 am by Scott Deatherage
The Securities and Exchange Commission (“SEC”) issued an interpretive release on February 2, 2010, entitled Commission Guidance Regarding Disclosure Related to Climate Change. [read post]
9 Feb 2010, 7:10 am
According to the Los Angeles Times, Robert Khuzami, the Securities and Exchange Commission's (SEC) director of enforcement, has initiated a new whistle-blower program to attempt to catch fraudsters in the act. [read post]
17 Jun 2010, 3:34 am by Sam E. Antar
Update: Part 3 - Open Letter to the Securities and Exchange Commission - Is Medifast Complying with Revenue Accounting Rules? [read post]
5 Jun 2004, 5:01 pm
On June 6, 1934, the US Securities and Exchange Commission was established to protect the interests of investors. [read post]
30 Nov 2017, 12:12 pm
Securities and Exchange Commission ratifies administrative law judges": Pete Schroeder of Reuters has this report. [read post]
1 Dec 2018, 7:46 am
Securities and Exchange Commission (SEC) in the digital token (aka cryptocurrency) space have primarily focused on the primary issuances of tokens. [read post]
13 Sep 2011, 2:23 am by Jay Eng
The Municipal Securities Rulemaking Board (“MSRB”) announced that it would delay its municipal advisor rule proposals currently before the Securities and Exchange Commission (“SEC”) until the SEC adopts a permanent definition under the Securities Exchange Act of 1934. [read post]
5 Feb 2009, 12:13 pm
Securities and Exchange Commission ( SEC ) as related to the Madoff ponzi scheme: The Securities and Exchange Commission (SEC) has posted information for Madoff investors at: [] See also NYT article 2-5-09: by Diana B. [read post]
20 Sep 2022, 12:21 pm by jeffreynewmanadmin
Jeffrey Newman is a whistleblower lawyer with the firm Newman & Shapiro and he can be reached at or at 978-880-4758 The post Morgan Stanley to pay $35 million to settle allegations that it failed to protect client information according to the Securities & Exchange Commission appeared first on Newman & Shapiro. [read post]