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Securities Regulatory Matters

Securities Regulatory Matters

The securities industry is one of the most stringently regulated areas of businesses in the United States. Companies and individuals participating in the securities industry are subject to various overlapping and cumulative federal and state securities laws and to regulation by the United States Securities and Exchange Commission, securities commissioners of all states in which they conduct business and, for securities brokers and representatives, the National Association of Securities Dealers (NASD). Only constant, competent and dedicated legal advice and representation can prevent securities industry participants from running afoul of this complex legal and regulatory structure. If questions or accusations of non-compliance are levied by regulatory authorities, aggrieved investors or criminal authorities, it is essential that regulatory counsel be engaged immediately.

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From Our Blog

Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC)


posted by James Dunlap at 06:11 PM

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SEC Will Take Up Money Market Funds, Solicitation Rule Next Week


posted by James Dunlap at 01:05 PM

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Ex-KPMG Partner Charged with Insider Trading in Criminal and Civil Charges


posted by James Dunlap at 09:33 PM

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