Compliance
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SEC Announces 2022 Examination Priorities
March 31, 2022March 30, 2022 – The SEC today announced its 2022 examination priorities, including several significant areas of focus and [...] -
SEC Proposes New Rules for SPACs, Shell Companies, and Projections
March 30, 2022The Securities and Exchange Commission today proposed new rules and amendments to enhance disclosure and investor protection in [...] -
Morgan Stanley Deferred Comp Claims
March 30, 2022Morgan Stanley may have violated ERISA rules when it cancelled certain deferred compensation assets for brokers who left the [...]
- SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
- Cybersecurity Risk Management Rules and Amendments Proposed for Registered Investment Advisers and Funds
- Private Fund Reporting Requirements to be Amended
Brokers
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OTC Markets
July 24, 2022The over-the-counter market is where securities which do not trade on an exchange are traded. Securities traded on the this [...]
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Morgan Stanley Deferred Comp Claims
March 30, 2022Morgan Stanley may have violated ERISA rules when it cancelled certain deferred compensation assets for brokers who left the [...] -
Duties When Processing Transactions for Russian Elites
March 4, 2022AdvisorHub is reporting that FINRA issued an alert on Friday warning about the compliance obligations triggered due to sanctions [...]
- Cybersecurity Risk Management Rules and Amendments Proposed for Registered Investment Advisers and Funds
- Securities Enforcement Investigations
- Robo-Adviser Settles SEC Charges of Misleading Investors
Whistleblowers
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SEC Awards $1.25 Million to Whistleblower
March 25, 2022The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and [...] -
SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
March 18, 2022March 18, 2022 – the SEC announced three awards totaling approximately $3 million to whistleblowers who provided [...] -
SEC Issues Awards Totaling More Than $4 Million to Two Whistleblowers
January 10, 2022The Securities and Exchange Commission today announced two awards totaling more than $4 million to whistleblowers who provided [...] -
SEC Awards Over $13 Million To Whistleblower
January 7, 2022The Securities and Exchange Commission today announced an award of more than $13 million to a whistleblower whose information and [...] -
SEC Issues Whistleblower Nearly $5 Million Award
December 7, 2021The SEC has announced an award of nearly $5 million to a whistleblower who provided critical information and assistance that led [...] -
SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million
November 22, 2021The Securities and Exchange Commission today announced awards totaling approximately $10.4 million to several whistleblowers who [...]
- Awards Totaling More Than $15 Million to Two Whistleblowers
- SEC Awards More Than $2 Million to Whistleblower for Successful Related Action
- SEC Awards $11.5 Million to Two Whistleblowers
Arbitration
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Morgan Stanley Deferred Comp Claims
March 30, 2022Morgan Stanley may have violated ERISA rules when it cancelled certain deferred compensation assets for brokers who left the [...] -
What Does a Securities Lawyer Do?
November 24, 2021While securities law is itself a specialized field of law, there is also more than one type of securities lawyer. There are [...] -
Does Trading on Information Learned About A Competitor Constitute Insider Trading?
August 18, 2021The SEC has been known to attempt to regulate by litigation, a tactic that causes significant problems for their targets, and [...] -
UBS Arbitration Claims Moving Forward
October 6, 2020UBS customers who have lost money in the UBS Yield Enhancement Strategy (UBS YES), and who have filed arbitration claims against [...] -
New FINRA Expungement Rules Effective in September
August 26, 2020FINRA Discovery Guide
May 3, 2019Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might [...]
- Securities Arbitration Overview
- Churned or Traded?
- Insight into the FINRA Arbitrator Selection Process
Investors
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January 2022 Ponzi Schemes
February 21, 2022From Kathy Bazoian Phelps’ Ponzi Scheme Blo. The reported stories reflect at least 5 new Ponzi schemes worldwide, 3 guilty [...] -
Securities Enforcement Investigations
February 12, 2022SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to [...] -
Robo-Adviser Settles SEC Charges of Misleading Investors
February 10, 2022A robo-adviser is an automated investment tool that uses mathematical algorithms to evaluate the prospects of various investment [...] -
What Does a Securities Lawyer Do?
November 24, 2021While securities law is itself a specialized field of law, there is also more than one type of securities lawyer. There are [...] -
What Happens If I Ignore an SEC Subpoena?
November 16, 2021Anyone who follows our blog or website knows that the More in this category »
Corp Finance
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OTC Markets
July 24, 2022The over-the-counter market is where securities which do not trade on an exchange are traded. Securities traded on the this [...]
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First Steps to Going Public
June 3, 2022Most entrepreneurs ultimately seek to go public, which increases the company’s access to cash, and enhances the status [...]
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SEC Announces 2022 Examination Priorities
March 31, 2022March 30, 2022 – The SEC today announced its 2022 examination priorities, including several significant areas of focus and [...]
- Texas School District Settles Fraud Claims in$20 Million Bond Sale
- SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
- Duties When Processing Transactions for Russian Elites
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