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Securities Exchange Act › Department of Insurance

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
BCLP

SEC Issues Two Recent Statutory Disqualification Decisions Involving Practical Issues And Considerations For MC-400 Process

BCLP on

“Statutory disqualification”  as defined under Section 3(a)(39) of the Securities Exchange Act of 1934 (“the Exchange Act”), prevents a person under a statutory disqualification from associating with any FINRA Member Firm...more

Dorsey & Whitney LLP

SEC, FINRA, DC Sanction Success Trade

Dorsey & Whitney LLP on

A recurrent theme in today’s enforcement environment is parallel and often overlapping proceedings. That is the case with a District of Columbia based broker that drew sanctions from the SEC, FINRA and DC. In the Matter of...more

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