The Securities and Exchange Commission (SEC) has taken filed a complaint in the United States District Court for the Northern District of California, against William K. Ichioka, a resident of New York, New York, for engaging in a fraudulent investment scheme. The complaint alleges that Ichioka targeted individual investors primarily in […]
Tag: Securities Law
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SECLaw.com is a comprehensive online platform providing legal analysis, news, articles, and resources about securities laws. Founded in 1995 by renowned securities lawyer Mark Astarita.
Never Stop Learning: Protecting Your Investments and Future – SEC’s New Public Service Campaign
The SEC‘s Office of Investor Education launched a public service campaign for older investors to continuously educate themselves on protecting their finances.
SEC Implements New Rules to Prevent Fraud and Manipulation in Security-Based Swaps
The US SEC has implemented new regulations to prevent fraud, manipulation, and deception in security-based swap transactions. This article explains the significance of the new rules and their implications for investors and reference entities, as well as the importance of protecting the independence and objectivity of chief compliance officers. The newly adopted antifraud and anti-manipulation rule will play a pivotal role in preventing misconduct, while the SEC’s publishing of the final rules in the Federal Register will give market participants sufficient time to comply.
Cryptocurrency – An Introduction
Cryptocurrency is a digital or virtual currency that is secured by cryptography, making it difficult to counterfeit or double-spend. Cryptocurrencies use decentralized technology for secure peer-to-peer transactions that are recorded on a public ledger known as a blockchain. There are currently over 8,000 cryptocurrencies in circulation, with new ones being […]
The History of US Securities Laws
Introduction The United States securities laws have played a crucial role in regulating the financial markets, protecting investors, and ensuring the integrity of the securities industry. These laws have evolved over time in response to various financial crises, fraudulent activities, and market manipulations. This essay will explore the history of […]
SEC Proposes Rule Changes to Enhance Clearing Agency Resilience and Recovery
The SEC has recently announced proposed rule changes aimed at strengthening the resilience and recovery capabilities of covered clearing agencies. These changes are designed to ensure the continuity of clearing services during times of significant stress and improve the overall risk management framework in the capital markets. Improving Intraday Margin […]
SEC to Highlight Free Investor Education Resources During Financial Capability Month
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “Investing for everyone.” All month long, SEC leadership and staff will promote… Read the Full Press Release Have a securities law question? Call New York Securities […]
Merrill Lynch Pays Over $9.5 Million to Settle SEC Charges for Undisclosed Foreign Exchange Fees
Merrill Lynch, Pierce, Fenner & Smith Incorporated has settled with the Securities and Exchange Commission (SEC) for charging more than $4 million in undisclosed foreign exchange fees to its advisory clients for transfers to or from their accounts. The company has agreed to pay disgorgement, prejudgment interest, and a civil […]
SEC Awards More Than $12 Million to Two Whistleblowers
The SEC has announced that it has awarded more than $12 million to two whistleblowers who provided crucial information and assistance during a successful SEC enforcement action. This marks another milestone in the SEC’s commitment to protecting investors and the capital markets through its whistleblower program. The first whistleblower who […]