Year: 2017

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 …

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

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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 …

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

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