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Securities Exchange Act › Broker Commissions

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 -
Vinson & Elkins LLP

The Wait is Over: SEC Adopts Share Repurchase Disclosure Modernization Rules

Vinson & Elkins LLP on

Final rules to modernize share repurchase disclosure will go into effect for the first periodic report that covers the first full fiscal quarter that begins on or after October 1, 2023. For calendar-year companies, that first...more

Dorsey & Whitney LLP

SEC Files Another In A Series of Actions Tied to Secret Commissions

Dorsey & Whitney LLP on

The Commission brought another in a series of actions centered on ConvergEx Execution Solutions LLC and its affiliates. As with the prior actions, this one centered on secretly adding substantial commissions to transactions...more

Dorsey & Whitney LLP

Former Texas AG, Computer Company Charged by SEC With Fraud

Dorsey & Whitney LLP on

A former Texas Attorney General and state representative combined with others at a computer firm to promote the shares of the company which claimed to compete with Dell, Apple and others. About $26 million in stock was sold...more

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