Barbara Kroncke-Moore

Barbara Kroncke-Moore

McCarter & English, LLP

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Foreign Brokers Doing Business in the United States

Foreign brokers that engage in securities transactions with U.S. investors based in the United States must be registered with the Securities and Exchange Commission (SEC). There are two major exceptions to this rule. The...more

8/19/2014 - Brokers Enforcement Actions Foreign Nationals Institutional Investment SEC Securities

SEC Releases Final Rule on Registration of Municipal Advisors

The U.S. Securities and Exchange Commission issued its final rule regarding registration and oversight of municipal advisors pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act. Release 34-70462...more

10/4/2013 - Dodd-Frank Municipal Advisers Registration SEC

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