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Securities Exchange Act › Supervisors

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 -
BakerHostetler

Who's Your Supervisor? The SEC Sheds Further Light on the Subject

BakerHostetler on

The recent issuance of frequently asked questions and interpretive answers by the SEC's Division of Trading and Markets (the "FAQs") clarifies a "disturbingly murky" area of the federal securities law -- namely, what facts...more

Katten Muchin Rosenman LLP

SEC Issues Frequently Asked Questions on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel Under Section...

Katten Muchin Rosenman LLP on

On September 30, 2013, the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued Frequently Asked Questions (FAQs) in an effort to provide guidance regarding potential supervisory liability of...more

Broker-Dealer Compliance + Regulation

When Legal or Compliance Personnel May Be Subject to Failure to Supervise Liability Under the Securities Laws

Broker-Dealer Compliance + Regulation on

The SEC has provided some much-needed clarity on the issue of when broker-dealer compliance or legal personnel may be considered to be supervisors. On September 30, 2013, the Division of Trading and Markets (the “Division”)...more

Katten Muchin Rosenman LLP

SEC Issues Frequently Asked Questions Regarding Liability of Broker-Dealer Compliance and Legal Personnel

Katten Muchin Rosenman LLP on

The Securities and Exchange Commission Division of Trading and Markets has issued Frequently Asked Questions (FAQs) that provide guidance regarding potential supervisory liability of compliance and legal personnel at...more

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