Latest Breaking News On - Cease and desist proceedings - Page 1 : comparemela.com

JPMS Settlement Release Regulatory Agency Communication Explained

JPMS Settlement Release Regulatory Agency Communication Explained
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

United statesNew yorkCity ofUnited kingdomState of new yorkJ pierpont morganJunius spenser morganThomasa edisonAaron burrAndrew carnegieAlexander hamiltonJuliet pierpontGurbir grewalCorey schusterEnforcement division asset management unitManhattan company

SEC Sanctions Morgan Stanley for Leaking Non-Public Information

SEC Sanctions Morgan Stanley for Leaking Non-Public Information
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

New york stock exchangeNew yorkUnited statesAdam smithCaroline blantonHenry sturgis morganJames chenHarold stanleyYork stock exchangeInstitutional equity divisionExchange commissionSyndicate deskSecurities exchangeJp morgan coDelaware limited liability companyDean witter discover co

SEC Cease and Desist Order Against Citigroup Capital Markets

SEC Cease and Desist Order Against Citigroup Capital Markets
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

United statesJay cookeCharlesj johnson jrSidley austinCharlie johnsonDivision of enforcementSecurities exchangePennsylvania railroadExchange commissionCitigroup incCitigroup capital markets incSecurities regulationProfessor louis lossSecurities lawAgreement among underwritersInstituting administrative

SEC Issues Cease and Desist Against Municipal Securities Underwriter

CDA system for municipal securities registration works, is cumbersome. Exemption exists from CDA requirement in Rule 15c2-12 for limited offerings of municipal securities placed with small number of investors who intend to hold purchased securities for their own accounts.

Lake erieUnited statesKeybanc capital markets incThen congressExchange act ruleExchange commissionUs securities exchange commissionSecurities exchangeMunicipal securities disclosureFederal securities lawsSecurities actSecurities exchange actSecurities act amendmentsMunicipal securities rule making boardContinuing disclosure agreementElectronic municipal market access

SEC Cease and Desist Issued for Manipulative Stock Day Trader

Securities and Exchange Commission SEC instituted Administrative and Cease-and-Desist Proceedings against Conrad Neil Normann of Scottsville, New York. Normann was associated as a day trader with a proprietary trading firm registered with the SEC as a Broker/Dealer.

New yorkUnited statesConrad neil normannJeff bacidoreAlexander hamiltonDisney fastpassExchange commissionBacidore groupNational association of securities dealers automated quotationSecurities exchangeFinancial industry regulatory authorityNational association of securities dealersCease and desist proceedingsClosingd ordersSecurities actSecurities exchange act