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Lucia reply brief argues that amicus's test for officer status is too narrow
In his case disputing the constitutionality of the SEC's administrative law judges, Raymond Lucia has submitted a reply brief asking the court to reverse the D.C. Circuit holding that the ALJ...
House votes to give Fed exclusive Volcker Rule authority, exempt community banks
By a vote of 300-104, the U.S. House of Representatives voted to pass the Volcker Rule Regulatory Harmonization Act (H.R. 4790). The bill would grant exclusive rulemaking authority under the Volcker...
Instinet fined for market access rules violations
Instinet, LLC has submitted a Letter of Acceptance, Waiver and Consent to settle alleged rule violations and it has been censured and fined over $1.5 million for those violations in an action...
Annuity holder unaware of misrepresentation, so no connection for SLUSA preclusion
An annuity holder's passive retention of a security following a misrepresentation of which the holder is unaware does not meet the "in connection with" requirement for SLUSA preclusion...
Texas nips crypto-marijuana offerings in the bud, issues virtual currency enforcement report
The Texas State Securities Board has issued its seventh cease-and desist order to halt an unregistered cryptocurrency scheme, this time involving a convicted felon who was also selling unregistered...