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Broker-Dealer › Section 17(a)

Cornerstone Research

Allegations in SEC Cryptocurrency Enforcement Actions

Cornerstone Research on

Of the 46 enforcement actions in 2023: 26 actions (57%) alleged fraud under Section 17(a) - of the Securities Act and/or Section 10(b) and Rule 10b-5 of the Exchange Act; 28 (61%) alleged an unregistered securities...more

Orrick, Herrington & Sutcliffe LLP

The SEC's Authority to Enforce the BSA Is Challenged

Orrick, Herrington & Sutcliffe LLP on

In the past few years, the SEC has become increasingly active in bringing enforcement actions based on broker-dealers' alleged failures to comply with requirements of the Bank Secrecy Act (BSA), in particular that requirement...more

Broker-Dealer Compliance + Regulation

Securities Regulators Are Inspired by an Academic Article to Seek Information Regarding Order Routing

Broker-Dealer Compliance + Regulation on

Apparently attempting to understand how broker-dealers provide best execution in the face of incentives to trade at certain exchanges, the SEC and FINRA are asking broker-dealers for extensive transaction information...more

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