Tag: securities defense attorney

Brokers Compliance Corp Finance News

SEC Publishes FY22-26 Strategic Plan

Nov. 23, 2022 —The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse workforce to serve America’s investors and capital-raising entrepreneurs alike. “Our capital […]

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SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers

The Securities and Exchange Commission today adopted amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds, and certain other registered funds report about their proxy votes. The amendments will make these funds’ proxy… Read the Full Press Release Have a securities law question? Call New York Securities […]

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SEC Proposes Enhancements to Open-End Fund Liquidity Framework

The Securities and Exchange Commission today voted to propose amendments to better prepare open-end funds for stressed conditions and to mitigate dilution of shareholders’ interests. The rule and form amendments would enhance how funds manage their… Read the Full Press Release Have a securities law question? Call New York Securities […]

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Why is the Powerball so Large?

I will admit, a billion dollar prize got my attention,  and my friends and I have been buying tickets. But why is the big prize so big? CNN has a theory – its the FED! It actually makes sense. Keep in mind that no one takes the annuity payout; everyone […]

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SEC Announces Enforcement Results for FY22

The Securities and Exchange Commission today announced that it filed 760 total enforcement actions in fiscal year 2022, a 9 percent increase over the prior year. These included 462 new, or “stand alone,” enforcement actions, a 6.5 percent increase over… Read the Full Press Release Have a securities law question? […]