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BD Rules & Regulatory Actions

Based on Critical’s net long position, it should have tendered only 5,500 Lockheed shares and received only 3,637 Leidos shares
Based on Bluefin’s net long position, it should have tendered only 4,103,463 Lockheed shares
The Commission is adopting a recordkeeping program for SBSDs and MSBSPs
Jefferies was responsible for supervising its securities lending desk personnel .... failed reasonably to fulfill such supervisory responsibilities
"We have recognized previously that other demands on a CCO’s time may be a mitigating factor and [recognize] competing demands on" the CCO's time as ...
A jury found the defendants made false and misleading statements in the private placement offering of American Growth Funding II
The SEC announced Nov. 4 that it will extend its no-action letter for firms trying to comply with the European Union’s Markets in Financial Instruments Directive ...
The SEC proposes revising a rule that governs the publication of securities' quotations
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...
If Migliorato had taken reasonable steps to follow-up with respect to the handling of ICBCFS’s pre-release transactions by securities lending desk personnel, it is likely ...
The Commission is correcting a final rule that appeared in the Federal Register on August 22, 2019. In the document, the Commission adopted capital and ...
SEC Obtains Sanctions Against Lek Securities and CEO, Including Bar Against CEO Litigation Release No. 24639 / October 10, 2019 Securities and Exchange Commission v. ...
From 2009 to 2017, Siva was associated with a broker-dealer and investment adviser registered with the Commission. Siva, 57 years old, is a resident of ...
SEC Charges Four Individuals in Broker Bribery Scheme Litigation Release No. 24637 / October 7, 2019 Securities and Exchange Commission v. Gino M. Pereira, Civil ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA sold AGF II securities in a private placement offering using offering ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, Allen, through his broker dealer PAA, sold AGF II securities in a ...
The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA, through its owner Allen, sold AGF II securities in a private ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...
The count of the criminal indictment to which Jung pled guilty alleged, inter alia, that from October 2015 to October 2016, in violation of the ...
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