Tags » Broker-Dealer

Cleary Gottlieb Discusses Second Circuit's Reversals of RMBS Trader's Fraud Conviction

On May 3, the Second Circuit vacated on evidentiary grounds Jesse Litvak’s conviction – after a second trial – on a single count of securities fraud related to trades of residential mortgage backed securities (“RMBS”) and remanded the case to the United States District Court for the District of Connecticut. 1,811 more words

Fraud

SEC Chair Clayton Talks Retail Investment Services and Forward-Looking Regulation

It is wonderful to be in Philadelphia.

It is wonderful to be at Temple University. It is very kind of Temple to host this event. I will speak for about 30 minutes and then take questions. 5,611 more words

Securities Regulation

SEC Investment-Management Director Talks Conduct Standards and Liquidity Risk

I am going to touch on two areas of work that reflect our efforts to be a responsive regulator that seeks engagement from all as we develop regulatory policies: the standards of conduct for investment professionals and liquidity risk management. 2,468 more words

Securities Regulation

Why Can’t I Deposit my Shares?

Issues Facing Small Cap Issuers

As the market operator where thousands of small and micro-cap securities trade, we occasionally hear from issuers and their investors who are frustrated when brokers won’t deposit their stock. 895 more words

Compliance

SEC Examination Priorities for 2018

Today February 7, 2018, the SEC released its Examination Priorities for 2018. Their focus this year is the retail investor. Prior areas of focus have been subcategorized under the larger retail market. 203 more words

Regulatory

Mobile Paint Protection Differences between car wax, paint sealant, andpaint protection coating

All that glitters: The importance of car paint protection

Taking care of your vehicle does not include checking up the engine at the mechanic, or changing the tires only; but, rather an array of activities to keep your wheeled pet operating properly and looking sharp. 544 more words

Car Paint Protection Brisbane