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SEC Expands Security and Breach Notification Requirements for Investment Firms | JD Supra
JD Supra· 3 days agoBrokers, dealers, investment companies, investment advisers, crowdfunding portals, and transfer agents registered with the SEC or another appropriate regulatory agency are ...
After ‘gross misuse of power,’ prosecutors must pay $1.8M to Utah crypto brokers accused of fraud
The Salt Lake Tribune· 3 days agoA judge has dismissed the Securities and Exchange Commission’s fraud case against crypto brokers...
Fund Sponsors and Placement Agents – Navigating Broker-Dealer Issues | JD Supra
JD Supra· 5 days agoFund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. Many sponsors and advisors are unaware that these activities can ...
SEC Adopts Amendments to Regulation S-P That Require Reporting Breaches of "Sensitive Customer...
JD Supra· 6 days agoOn May 15, the Securities and Exchange Commission adopted amendments to Regulation S-P, which covers broker-dealers, registered investment advisors (RIAs), and investment ...
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information | JD...
JD Supra· 7 days agoIncident Response Program: Covered firms are now required to develop, implement and maintain written policies and procedures for an incident response...
High-risk alts burn client in $1.2 million arbitration - InvestmentNews
InvestmentNews· 4 days agoThe client, Donald Saunders, last year sued the brokerage firm where his advisor worked, Concourse...
Investors, Realtors still waiting to learn whether criminal charges will follow collapse of Epic...
CBC via Yahoo News· 1 day agoGary Busch says the Epic Alliance business model smelled like fraud from the start.Today, people who...
Osisko Development to Complete Second Deferred Payment Installment in Connection With the Tintic...
Digital Journal· 7 hours ago...Cameron North of Soledar, Ukrainians yearn for peace Carlo Marks talks about his new Hallmark movie ‘The Wedding Veil Inspiration’ Musk faces US fraud trial over Tesla tweet Heat home to be renamed Miami-Dade Arena States with the biggest gun industries 25 successful musicians who retired early...
Victoria mortgage broker ran Ponzi scheme, trustee finds
CBC via Yahoo News· 6 days agoBankruptcy proceedings for disgraced Victoria mortgage broker Greg Martel found he was operating a...
US House of Representatives Passes Financial Innovation and Technology for the 21st Century Act | JD...
JD Supra· 4 days agoFIT21 would provide regulatory certainty for the US digital asset ecosystem, balancing support for innovation with consumer protection. FIT21 would create a regulatory regime for the digital ...