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Searching Content indexed under Securities by Steven Lofchie ordered by Published Date Descending.
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1
State Attorneys General Challenge SEC Regulation Best Interest
New York Attorney General Letitia James and several other state attorneys general (the "Plaintiffs") sued the SEC, alleging that Regulation "Best Interest" ("Reg. BI")
United States
13 Sep 2019
2
SEC Chair Jay Clayton Criticizes Foreign Counterparts For Lack Of Anti-Corruption Enforcement
SEC Chair Jay Clayton criticized his foreign counterparts for their lack of anti-corruption enforcement, arguing that only through a collaborative global strategy on fighting offshore bribery will such efforts be successful.
United States
12 Sep 2019
3
SEC Commissioners Raise Issues With Proposed Amendments To Reporting Regulations
SEC Commissioners Robert J. Jackson Jr. and Allison Herren Lee expressed concern over recently proposed amendments to reporting requirements ("Regulation S-K")
United States
30 Aug 2019
4
FINRA Charges Broker-Dealer For "Exorbitant And Arbitrary" Fees
In a disciplinary proceeding, FINRA charged a broker-dealer in connection with imposing "exorbitant and arbitrary" customer account fees.
United States
27 Aug 2019
5
Federal Register: SEC Adopts Swap Capital, Margin and Segregation Requirements
The SEC final rule to establish security-based swap capital, margin and segregation requirements was published in the Federal Register.
United States
27 Aug 2019
6
SEC Provides Proxy Voting Guidance, Clarifies Obligations of Advisers
In a three-to-two vote, the SEC approved (i) guidance on an investment adviser's responsibilities in proxy voting and in vetting any advice that the adviser may itself receive from a proxy advisor
United States
26 Aug 2019
7
Regulators Emphasize Importance Of Capital Investment
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
United States
22 Aug 2019
8
SEC Charges "Financial Guru" In ICO Fraud Scheme
The U.S. District Court for the Eastern District of New York froze the assets of a "self-described financial guru" charged with defrauding
United States
16 Aug 2019
9
SEC Commissioner Hester Peirce Champions "Marie Kondo" Approach to Regulation
SEC Commissioner Hester M. Peirce expressed support for SEC Chair Jay Clayton's initiative to review outdated regulations.
United States
13 Aug 2019
10
NASAA Urges Broker-Dealers To Update Policies On Non-Traditional ETFs
The North American Securities Administrators Association ("NASAA") advised broker-dealers to review sales practices for non-traditional exchange-traded funds ("ETFs"), warning that these products pose unique risks.
United States
6 Aug 2019
11
In Your Best Interest: New Cabinet Tools To Support Regulatory Compliance
Regulatory change increases overhead expenses for financial institutions. Regulation Best Interest ("Reg. BI") significantly expands the obligations that broker-dealers owe to retail investors.
United States
6 Aug 2019
12
SIFMA Weighs In On Massachusetts' Proposed Fiduciary Conduct Standard
In comments on the Massachusetts Securities Division (the "Division") proposed regulation to create fiduciary standards (the "Proposal")
United States
5 Aug 2019
13
SEC Chair Jay Clayton Encourages IAC To Foster More Competition
SEC Chair Jay Clayton encouraged the Investor Advisory Committee ("IAC") to consider approaches to regulation that foster competition
United States
5 Aug 2019
14
SEC Chief Economist Highlights Challenges Of Big Data
SEC Chief Economist and Director of the Division of Economic and Risk Analysis S.P. Kothari highlighted policy challenges of big data.
United States
5 Aug 2019
15
SEC Staff Says Tokens To Be Used For Video Games Are Not Securities
The SEC Division of Corporation Finance granted no-action relief to a tech company that has developed, and seeks to distribute, a blockchain-based token (the "Quarter") for use on online gaming platforms.
United States
1 Aug 2019
16
SIFMA Urges New Jersey To Pause Before Enacting "State-Specific" Reg. BI Standard
In testimony before the New Jersey Bureau of Securities (the "Bureau,") SIFMA Managing Director and Associate General Counsel Kevin Carroll
United States
26 Jul 2019
17
SEC Chair Jay Clayton Responds To Criticism Of Reg. Best Interest
SEC Chair Jay Clayton refuted criticism of the SEC's recently adopted rulemaking package designed to strengthen protections
United States
18 Jul 2019
18
SEC Charges Municipal Advisor With Breach Of Fiduciary Duty
The SEC charged a municipal advisor with breaching its fiduciary duty by failing to provide its promised services to a public library client.
United States
12 Jul 2019
19
Representative Waters Proposes Amendments To Freeze SEC Proxy Rules
Representative Maxine Waters (D-CA) introduced three amendments to the securities laws, two of which would freeze certain SEC proxy rulemaking initatives.
United States
12 Jul 2019
20
SEC Office of Investor Advocate Announces 2020 Objectives
The SEC Office of the Investor Advocate ("OIA") set forth its priorities for protecting and promoting the interests of retail investors in its annual report on objectives for the coming fiscal year.
United States
12 Jul 2019
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