Month: September 2023

News

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.

News

SEC Charges 10 Firms with Widespread Recordkeeping Failures

The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

News

SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme

The Securities and Exchange Commission today charged Exelon Corporation, electric utility company Commonwealth Edison Company (ComEd), which is Exelon’s subsidiary, and former ComEd CEO Anne Pramaggiore with fraud in connection with a multi-year scheme… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]