The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host four panels to discuss: Human… Read the Full Press Release Have a securities law question? Call New York […]
Tag: Securities Defense Attorney
SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market
The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. […]
SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first time the SEC has charged a broker-dealer for… Read the Full Press Release Have a securities law question? Call New […]
August 2022 Ponzi Scheme Roundup
From Kathy Bazoian Phelps’ Ponzi Scheme Blog – a summary of activity reported for August 2022 in the Ponzi scheme space. The reported stories reflect at least 4 new Ponzi schemes worldwide, 1 guilty plea, more than 71 years of prison sentences, and an average age of approximately 51 for the […]
The Firm’s Lawyer or Your Own Lawyer?
Should you and the firm use the same lawyer? By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by a customer, and whose firm offers to provide an attorney to represent both the broker and the firm. The […]
