U.S. Securities Exchange Commission

Reg BI Enforcement Intensifies: SEC Fines Western International Securities for Violating Care and Compliance Obligations

By Tracy S. Combs, Steven M. Malina, William Mack & Benjamin Cohen on August 8, 2024

Posted in Featured, Litigation, Regulatory, Regulatory Compliance, SEC, Securities

On July 30, 2024, the SEC announced it had reached a settlement agreement with Western, a dually registered investment adviser and broker-dealer providing investment advice and brokerage services to retail…

SEC Investor Advisory Committee Considers Blockchain Technology

By Jonathan A. Beckham & Barbara A. Jones on October 30, 2017

Posted in Blockchain, Blockchain Technology Task Force, SEC, Securities

On Oct. 12, 2017, the Investor Advisory Committee of the U.S. Securities Exchange Commission (the SEC) hosted a panel discussion on blockchain technology. The session represented another instance of the…
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Financial Services Observer

U.S. Securities Exchange Commission

Reg BI Enforcement Intensifies: SEC Fines Western International Securities for Violating Care and Compliance Obligations

SEC Investor Advisory Committee Considers Blockchain Technology

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