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Securities Check the Box Rules

Carlton Fields

Broker-Dealers File Suspiciously Few Suspicious Activity Reports

Carlton Fields on

Speaking at an anti-money laundering (AML) conference in February, SEC Director of Enforcement John Ceresney warned attendees that broker-dealers were under-filing suspicious activity reports (SARs). He said that...more

Burr & Forman

SEC Announces First Wave of MCDC Underwriter Sanctions

Burr & Forman on

The Securities Exchange Commission announced June 18 the first major wave of underwriter sanctions under its Municipalities Continuing Disclosure Cooperation (“MCDC”) Initiative. The SEC sanctioned 36 municipal underwriting...more

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