Author: SECLaw Staff

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SEC Charges Unlicensed Broker With Defrauding Investors

The Securities and Exchange Commission today charged Joshua L. Rupp of Michigan for engaging in securities fraud and for acting as an unregistered broker-dealer.  The SEC’s complaint, filed in the U.S. District Court for the Western District of… Read the Full Press Release Have a securities law question? Call Sallah […]

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SEC Issues Substituted Compliance Determination for France

The Securities and Exchange Commission today announced the approval of a substituted compliance determination order with respect to security-based swap dealers and major security-based swap participants (SBS Entities) subject to regulation in the French… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]

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Chair Gensler Announces Composition of Policy Team

The Securities and Exchange Commission today announced the appointments of Corey Klemmer, Adam Large, Mika Morse, Sirimal Mukerjee, and Sai Rao to Chair Gary Gensler’s policy staff, led by the Policy Director Heather Slavkin Corzo. “I am pleased that… Read the Full Press Release Have a securities law question? Call […]