News & Analysis as of

CEOs Broker-Dealer

Cozen O'Connor

Important Information Regarding Corporate Transparency Act Which May Require Action in 2024

Cozen O'Connor on

A new regulation under the federal Corporate Transparency Act (“CTA”) will require disclosure of information about all corporations, limited liability companies and limited partnerships (unless exempt) and personal...more

Pillsbury Winthrop Shaw Pittman LLP

SEC’s Heightened Scrutiny of Rule 10b5-1 Plans and Final Rulemaking Focus Is on Insiders Rather than Issuers

The SEC seeks to regulate trading through internal compliance processes. The SEC settled insider trading charges in relation to misuse of a Rule 10b5-1 plan established in the name of a British Virgin Islands entity owned...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for June 2022

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary sources....more

Bracewell LLP

SEC Announces Expedited Program to Vacate pre-Dodd Frank Collateral Bars from Non-Associated Industries

Bracewell LLP on

On January 17, 2017, the U.S. Court of Appeals for the D.C. Circuit vacated in part a Securities and Exchange Commission (SEC) order that imposed a collateral bar against Gregory Bartko, the former CEO and chief compliance...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume X, Issue 38

SEC/CORPORATE - ISS Publishes Results of 2015–2016 Annual Global Policy Survey - On September 28, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2015–2016...more

Proskauer - Corporate Defense and Disputes

SEC Sanctions Senior Executives Of Failed Clearing Broker

On September 17, 2015, the SEC announced charges against several senior executives of Penson Financial Services Inc., once the second-largest clearing broker-dealer in the country, and its parent corporation, Penson...more

Goodwin

SEC Sanctions Adviser, Affiliated Broker-Dealer and Their Owner Over Class A Share Purchases and Commissions Paid on ETF Trades

Goodwin on

The SEC settled claims against a registered investment adviser (the “Adviser”), its affiliated broker-dealer (the “Broker-Dealer”), and the founder, owner, and president of each (the “CEO”) that related to (1) investments in...more

7 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide