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One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person
  • Sidley Austin LLP
  • USA
  • September 18 2018

On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of


Crypto Crackdown - SEC Imposes Broker-Dealer and Investment Company Registration Provisions on Token Traders and a Crypto Fund
  • Proskauer Rose LLP
  • USA
  • September 17 2018

The SEC announced a pair of settled orders on Tuesday extending additional provisions of the securities laws over ICOs and other digital assets - the


Broker-Dealer and Affiliate Agree to Pay More Than US $12 Million to Resolve SEC Charges for Allegedly Misleading Dark Pool Practices
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2018

Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC agreed to disgorge profits and pay interest of US $5.437 million


SEC Acts Over Weekend to Suspend Trading in Certain Crypto Stocks
  • Hunton Andrews Kurth LLP
  • USA
  • September 10 2018

On September 9, 2018, the SEC announced the temporary trading suspension of two securities known as Bitcoin Tracker One (“CXBTF”) and Ether Tracker


Three Affiliated Investment Advisers and a Related Broker-Dealer Agree to Penalties of Almost US $100 Million for Using and Promoting Defective and Untested Quantitative Trading Models
  • Katten Muchin Rosenman LLP
  • USA
  • September 9 2018

Four direct or indirect US-based subsidiaries of Aegon, N.V., a Netherlands-based multinational insurance and asset management company, agreed to


FINRA Fines Broker-Dealer US $5.5 Million for Purported Reg SHO Errors and Supervisory Lapses
  • Katten Muchin Rosenman LLP
  • USA
  • August 26 2018

Interactive Brokers LLC agreed to pay a fine of US $5.5 million to the Financial Industry Regulatory Authority to settle allegations that, from July


Israeli Broker-Dealer Legislation
  • Herzog Fox & Neeman
  • Israel
  • August 23 2018

The Israeli Securities Authority ("ISA") has published a draft for the public’s comments regarding Bill regulating Broker-Dealers activity. Brokerage


Texas Securities Commissioner Takes First Action Under New Law Regarding Financial Exploitation of Vulnerable Adults
  • Bressler, Amery & Ross PC
  • USA
  • August 20 2018

On August 6, 2018, the Texas Securities Commissioner (the “Commissioner”) entered an emergency cease and desist order against a computer repairman


Bank and Broker-Dealer Affiliate Agree to US $5.75 Fine Million for Rogue Trading by Three Traders
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2018

Citigroup Global Markets Inc. and Citigroup Inc. agreed to pay a fine of US $5.75 million to the Securities and Exchange Commission in connection with the separate...