United States: SEC Seeks Comment On Broker-Dealer And Investment Adviser "Digital Engagement Practices" - Cadwalader, Wickersham & Taft LLP

Mondaq

31 Aug 2021 0 shares 1 views

Mondaq

Published 31 Aug 2021

The SEC issued a request for information and comment on the use of digital engagement practices by broker-dealers and investment advisers.

United States: Underwriter Settles SEC Charges For Failing To Disclose Conflicts - Cadwalader, Wickersham & Taft LLP

Mondaq 31 Aug 2021

An Arkansas-based broker-dealer and its former CEO settled SEC charges for fair dealing violations arising from a municipal bond..

The Order further found that in 2018, the platform determined that it would continue to allow trading in digital assets it..

Mondaq 11 Aug 2021