The Law of the Financial Markets from Top Securities Lawyers
Wednesday, October 1, 2025
On November 16, 2023, the SEC took a significant step towards fortifying the stability of clearing agencies by implementing innovative rules aimed at diminishing the influence of conflicts of interest on their boards of directors or equivalent governing bodies. What is a Clearing Agency? Clearing agencies, also known as clearinghouses, […]
Introduction The Securities and Exchange Commission (SEC) has announced its commitment to emphasizing the significance of investor education and protection during the World Investor Week (WIW) 2023, which is scheduled from October 2nd to October 8th. The ever-evolving landscape of technologies and digital tools has revolutionized the investment landscape, making […]
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.
The SEC has recently disclosed that Albemarle Corporation, a prominent global specialty chemicals company headquartered in Charlotte, has agreed to a substantial settlement of over $103.6 million. This settlement is in response to the SEC’s charges that Albemarle violated several key provisions of the Foreign Corrupt Practices Act (FCPA), specifically […]
The Securities and Exchange Commission today charged Newell Brands Inc., a Georgia-based consumer products company and its former CEO, Michael Polk, with misleading investors about Newell’s core sales growth, a non-GAAP (Generally Accepted Accounting… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
The Securities and Exchange Commission today proposed tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs). The amendments would highlight key information about RILAs, allow insurance… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
The Securities and Exchange Commission today announced charges against accounting firm Prager Metis CPAs, LLC and its California professional services firm, Prager Metis CPAs LLP, (together, Prager) for violating auditor independence rules and for aiding… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
The Securities and Exchange Commission today announced charges against credit rating agencies DBRS Inc. and Kroll Bond Rating Agency, LLC (KBRA) for longstanding failures to preserve electronic records, including off-channel communications on personal… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
The Securities and Exchange Commission today charged Denver-based Spruce Power Holding Corporation, the successor to XL Fleet Corp., for misleading investors about revenue projections that topped $1 billion within three years of going public. XL Fleet,… Read the Full Press Release Have a securities law question? Call New York Securities […]
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 […]
