Securities Law

SEC Division of Examinations Announces 2023 Priorities

February 7, 2023
SEC Division of Examinations Announces 2023 Priorities

The Securities and Exchange Commission’s Division of Examinations today announced its 2023 examination priorities. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it… Full report at: Read More

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SEC Seeks Applicants for Public Company Accounting Oversight Board Seat

February 7, 2023
SEC Seeks Applicants for Public Company Accounting Oversight Board Seat

The Securities and Exchange Commission today announced the start of the selection process to fill a seat on the Public Company Accounting Oversight Board (PCAOB) that will become vacant in October. The PCAOB appointment is for a five-year term from… Full report at: Read More

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Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

February 3, 2023
Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure… Full report at: Read More

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Imposter Scams: Don’t Be Fooled By “Guarantees” or Money-Making Pitches from “Regulators”

February 3, 2023
Imposter Scams: Don’t Be Fooled By “Guarantees” or Money-Making Pitches from “Regulators”

FINRA is issuing this Alert to warn investors that scammers are posing as regulators to separate you from your money. We want you to know that neither FINRA, nor any of its executives, will ever provide a “guarantee” on an investment or offer to facilitate your participation in any sort of money-making scheme. From FINRA:…

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Know Before You Share: Be Mindful of Data Aggregation Risks

February 3, 2023
Know Before You Share: Be Mindful of Data Aggregation Risks

If putting all your financial information online and in one place sounds like a good idea, there are many companies—often called data aggregators—ready to help you organize your financial life. However, before you share your account information and other sensitive financial details with data aggregators, it pays to know how these services operate, and how…

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Job Dislocation—Managing the Financial Impact of Unexpected Job Loss

February 3, 2023
Job Dislocation—Managing the Financial Impact of Unexpected Job Loss

You may not be able to control if or when your company closes a plant or lays off workers—but you can take steps to manage the financial impact of those events. We have updated this Alert with the latest annual IRS contribution limits for retirement plans. From FINRA: Read More

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Advance-Fee Frauds Keep Dropping the FINRA Name—Don’t Fall for “Regulator” Imposter Ploys

February 3, 2023
Advance-Fee Frauds Keep Dropping the FINRA Name—Don’t Fall for “Regulator” Imposter Ploys

Fraudsters continue to impersonate FINRA executives, offering bogus investment “guarantees” to investors as part of an advance-fee scam. Read more about the lengths these fraudsters go to in creating a false sense of security. From FINRA: Read More

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It Pays to Understand Your Brokerage Account Statements and Trade Confirmations

February 3, 2023
It Pays to Understand Your Brokerage Account Statements and Trade Confirmations

FINRA is re-issuing this alert to remind investors about the key elements of their brokerage account statements and trade confirmations and to provide tips that can help avoid problems. From FINRA: Read More

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Initial Coin Offerings (ICOs)—What to Know Now and Time-Tested Tips for Investors

February 3, 2023
Initial Coin Offerings (ICOs)—What to Know Now and Time-Tested Tips for Investors

FINRA is issuing this alert to inform investors that investments in digital assets, such as ICO tokens and cryptocurrencies, can involve significant uncertainty, as well as risks that are different from more conventional assets like stocks or bonds. From FINRA: Read More

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It Pays to Pay Attention to Your Brokerage Account Statements

February 3, 2023
It Pays to Pay Attention to Your Brokerage Account Statements

One of the best ways you can protect your investment portfolio is to monitor your holdings and activity. You should make it a habit to review online or paper account statements and trade confirmations on a regular basis. You should review your statement as soon as you receive it to confirm it correctly reflects your…

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