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JPMS Settlement Release Regulatory Agency Communication Explained

JPMS Settlement Release Regulatory Agency Communication Explained
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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
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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

Determining Scope of Responsibility for Securities Market Interme

Determining Scope of Responsibility for Securities Market Interme
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United statesNew yorkCity ofUnited kingdomNew york stock exchangeCharles laidlawMichael murrayHenry bellRobert jacksonRichard michalskiHenry bell laidlawBernie madoffMm order the commissionNeither the pressFinancial industry regulatory authorityExchange commission

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 Imposes Sanctions on Deccan Value Investors L P

The SEC charged Deccan and Bodas with breaching their investment adviser fiduciary duties. Deccan Value Investors L.P. is a Connecticut limited partnership, operating as an investment adviser registered with the SEC since 2011.

United statesVinit bodasExchange commissionHotel californiaDeccan limited partnership agreementOrder instituting administrativeCease and desist proceedingsChief investmentCommingled fundUni oneUni twoLiquidating special purpose vehicleInvestment advisers actEccan value investorslpSecurities and exchange commissionUniversity endowment funds