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Mark Cuban Criticizes the SEC; Again

Mark Cuban criticizes the U.S. Securities and Exchange Commission (SEC) for not effectively protecting investors. He likens the SEC to “the QuickBooks of Financial Regulation,” suggesting they are more proficient in bookkeeping than in proactive investor protection. Cuban highlights his involvement with Sharesleuth.com, a platform he owns that uncovers fraudulent […]

SEC 2024 Broker-Dealer Examination Priorities
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SEC 2024 Examination Priorities for Investment Advisors

The SEC‘s Division of Examinations prioritizes examinations of certain practices, products, and services that it believes present potentially heightened risks to investors or the integrity of the U.S. capital markets. They have announced the 2024 examination priorities. Here is a summary of the INvestment Advisor priorities. Advisors are urged to […]

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SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program

The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.