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Securities Exchange Act › Morgan Stanley › Broker-Dealer

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: March 1, 2024

Nutter McClennen & Fish LLP on

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review - February 10, 2014

Orrick, Herrington & Sutcliffe LLP on

No-Action Letter Provides Relief to M&A Brokers - On January 31, in a significant no-action letter (Letter), the Staff of the Division of Trading and Markets provided assurances that it would not recommend enforcement...more

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