The Law of the Financial Markets from Top Securities Lawyers
Sunday, October 12, 2025
Washington D.C., May 20, 2022 — The Securities and Exchange Commission today announced charges against Wells Fargo Advisors for failing to file at least 34 Suspicious Activity Reports (SARs) in a timely manner between April 2017 and October 2021. Wells Fargo Advisors, the St. Louis-based broker-dealer, has agreed to pay […]
Washington D.C., April 25, 2022 — The Securities and Exchange Commission today announced a total award of $6 million to two groups of whistleblowers who provided information and assistance in a single covered action. The first group of whistleblowers provided the SEC with key documents that led the staff to […]
The SEC is attempting to gain regulatory oversight of cryptocurrency products and platforms that may be engaging in the sale and offering of securities. Securities are strictly regulated and require detailed disclosures to inform investors of potential risks. Since the first cryptocurrency (Bitcoin) launched in 2009, the question of how […]
The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. Each… Read the Full Press Release Have a securities law question? Call New York Securities […]
Introduction BlockFi is a cryptocurrency lending startup that offers crypto loans. Since its launch, the company has been criticized for its lending practices. In particular, it has faced questions about whether it can comply with regulations requiring it to register as a money transmitter and obtain a license. SEC Charges […]
The Investment Advisers Act of 1940 The Act regulates investment advisers – firms and individuals compensated for advising others about securities investments. The Act requires such advisers to register with the SEC and conform to regulations to protect investors. Since the Act was amended in 1996 and 2010, generally, only […]
We are certain that Judge Grimes will be an excellent Chief ALJ, but we found it interesting, given the fact that the SEC ALJs rule in favor of the SEC in almost all of their cases that the SEC thought that including the word “impartial” in the title “SEC impartial Office […]
The Securities and Exchange Commission today voted to propose amendments to certain rules that govern money market funds under the Investment Company Act of 1940. In March 2020, growing economic concerns about the impact of the COVID-19 pandemic led… Read the Full Press Release Have a securities law question? Call […]
The Securities and Exchange Commission voted to propose rules to prevent fraud, manipulation and deception in connection with security-based swaps, to prevent undue influence over the chief compliance officer (CCO) of security-based swap dealers and major security-based swap participants (SBS Entities), and to require any person with a large security-based […]
The Securities and Exchange Commission today announced it charged three Canadian citizens with carrying out a fraudulent scheme involving penny stocks which generated tens of millions of dollars in proceeds but left investors with nearly worthless shares… Read the Full Press Release Have a securities law question? Call New York […]
