The Law of the Financial Markets from Top Securities Lawyers
Saturday, May 30, 2026
On March 15, 2023, the SEC proposed amendments to Regulation S-P that aim to enhance the protection of customer information. The proposed amendments would require broker-dealers, investment companies, registered investment advisers, and transfer agents to provide notice to individuals affected by certain types of data breaches that may put them […]
The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
March 16, 2-23 – The SEC has charged American Patriot Brands Inc. (APB), a cannabis cultivation and distribution company, its CEO, Robert Y. Lee, and five other entities and individuals for participating in a long-running scheme. The scheme involved raising over $30 million from more than 100 investors across the […]
The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI), the set of rules adopted in 2014 to help address technological vulnerabilities in the U.S. securities markets and improve Commission oversight of the core technology of key U.S. securities markets entities (SCI […]
The Securities and Exchange Commission today reopened the comment period on proposed rules and amendments related to cybersecurity risk management and cybersecurity-related disclosure for registered investment advisers, registered investment companies,… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
https://www.forbes.com/sites/siladityaray/2023/03/13/svb-collapse-fallout-goldman-analysts-forecast-no-fed-rate-hike-in-march/
Blackbaud Inc., a South Carolina-based public company that provides donor data management software to non-profit organizations, has agreed to pay a $3 million civil penalty to settle charges over misleading disclosures about a 2020 ransomware attack that impacted more than 13,000 customers. The SEC announced the settlement on March 9, […]
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 96 soliciting entities, three impersonators of genuine firms, and… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
Rio Tinto, a global mining and metals company, has agreed to pay a $15 million civil penalty to the Securities and Exchange Commission (SEC) for violating the Foreign Corrupt Practices Act (FCPA). The violation is related to a bribery scheme involving a consultant in Guinea. The Hiring of a Consultant […]
The Securities and Exchange Commission today announced that it filed an emergency action in which it successfully obtained an asset freeze, appointment of a receiver, and other emergency relief against Miami-based investment adviser BKCoin Management LLC… Read the Full Press Release Have a securities law question? Call New York Securities […]
