Year: 2017

SEC Charges Trading Firm’s Education Program Violates Broker Registration Section

Commission enforcement actions have focused on Exchange Act Section 15(a) and its prohibition on acting as a broker without registering with the agency in recent months. The Exchange Act defines a broker as any person “engaged in the business of

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This Week In Securities Litigation (Week ending March 31, 2017)

U.S. Senators Elizabeth Warren, Sherrod Brown, Robert Menendez and Brian Schatz requested that Inspector General Carl Hoecker investigate Acting SEC Chairman Michael Piwowar in a letter dated March 29, 2017. The letter notes that the Acting Chairman has directed the

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