21,177 results found

Morgan Stanley Smith Barney LLC, an investment advisory firm, agreed to pay a $13 million penalty to settle SEC charges alleging the firm overbilled investment advisory clients...

The SEC Investor Advisory Committee will hold its next meeting on Thursday, April 9, 2015, beginning at 9.30am.

In a published consultation report, IOSCO made several recommendations to assist trading venues and regulatory authorities on the "implementation, operation and monitoring" of mechanisms...

It has been over eight months since SEC-registered issuers began making mandatory disclosures of business activities in or with Iran.

Jay Clayton was sworn in as chairman of the SEC after the Senate voted 61 to 37 to approve President Trump's nomination.

On Thursday, October 3, 2013, Morrison & Foerster partner Anna Pinedo will participate in a complimentary Bloomberg Law Event entitled "Outlook on Securities—The JOBS Act".

We've been following the Securities and Exchange Commission's slow to develop rules respecting crowdfunding for some time.

Today, SEC Chair White commented on possible future changes to disclosure requirements for SEC reporting companies.

The MSRB raised the annual fee charged to municipal advisor firms under MSRB Rule A-11 with respect to each person associated with a municipal advisor who is qualified as a municipal advisor representative.

In its annual Fact Book, the MSRB reported that trading of municipal securities went up substantially in 2018.

The MSRB released interpretive guidance regarding MSRB Rule G-47 (Time of Trade Disclosure) stating that a municipal security that bears a market discount...

The MSRB noted that the pilot enrollment period also has been moved to March 4-15, 2019, and that the permanent Series 54 examinations will be available in Fall 2019.

MSRB reported the highest dollar volume of municipal securities transactions for any year since 2012.

The MSRB proposed a rule change that would increase the professional fee for municipal advisors. The assessment fee charged under MSRB Rule A-11 for each municipal advisor

MSRB reminded brokers, dealers and municipal securities dealers ("dealers") of their investor protection obligations regarding transactions in the municipal securities of distressed municipalities.

The MSRB requested comments on proposed new requirements that would (i) amend MSRB Rule G-21 applicable to municipal securities advertisements, in order to conform the MSRB's requirements...

The MSRB will implement a new examination requirement on November 12, 2019 for principals of municipal advisors.

Lawson Financial Corporation, its CEO and its former underwriter counsel ("respondents") agreed to settle SEC charges alleging that the brokerage firm and certain of its officers violated antifraud provisions.