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Searching Content indexed under Securities by Lewis Brisbois Bisgaard & Smith LLP ordered by Published Date Descending.
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FINRA Arbitrators Issue $3 Million Dollar Sanctions For Failure To Comply With Discovery Order
A three-person FINRA panel in Miami ordered Morgan Stanley Smith Barney LLC to pay Puerto Rico bond investors $3 million in sanctions for failure to produce documents related to the termination of a broker.
United States
30 Jul 2019
2
SEC Adopts "Regulation Best Interest" For Broker-Dealers And Interpretive Rules Of Conduct For Retail Customers
The SEC's interpretations under the Advisers Act will become effective upon publication in the Federal Register.
United States
18 Jun 2019
3
Supreme Court Lorenzo Decision Expands Liability Under Rule 10b-5
On March 27, 2019, the Supreme Court issued its much-anticipated decision in Lorenzo v. SEC, 587 U.S. ____ (2019), which expands the category of conduct under which a private action can be brought pursuant to SEC Rule 10b-5.
United States
3 Apr 2019
4
SEC Votes To Expand "Smaller Reporting Company" Definition
On June 28, 2018, the Securities and Exchange Commission (the SEC or the Commission) amended the definition of "smaller reporting company" (SRC) to expand the number of smaller companies
United States
25 Jul 2018
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