Author: SECLaw Staff

NYSE with U.S. flag, symbolizing new broker-dealer compliance rules for Treasury securities clearing.
Compliance Enforcement Mutual Funds - ETFs

SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting Requirements for Large Liquidity Fund Advisers

July 12, 2023 – The SEC today adopted amendments to certain rules that govern money market funds under the Investment Company Act of 1940. The amendments are designed to enhance the resilience and transparency of money market funds, particularly during periods of market stress. Significant Changes One of the key […]

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SEC Awards Whistleblower More Than $9 Million

The Securities and Exchange Commission today announced an award of more than $9 million to a whistleblower whose significant and detailed information and assistance led to a successful SEC enforcement action. After repeatedly internally reporting the… Read the Full Press Release Have a securities law question? Call New York Securities […]

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SEC Charges Stockbroker and Friend with Insider Trading

The Securities and Exchange Commission today announced insider trading charges against Jordan Meadow, a registered representative for a New York-based broker-dealer, and Steven Teixeira, the Chief Compliance Officer of an international payment processing… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. […]