Tag Archives: Regulators

LPL Financial Fined $450K by Texas Regulators for Sale of Unregistered Securities-Austin, TX

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. April 2019- Austin , Texas The Texas State Securities Board (TSSB) fined LPL Financial $450,000 and ordered a repurchase of certain securities sold to investors. In addition LPL agreed to pay $49,000 … Continue reading

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In anticipation of Brexit, US regulators address status of certain swaps under the Swaps Margin Rule

With the next 10 days being crucial in the Brexit process, following the UK House of Commons rejecting the draft withdrawal agreement for a third time and the European Council calling an emergency summit for April 10, 2019, the Commodity … Continue reading

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Securities regulators give updates at SIFMA panel

By Lene Powell, J.D. Senior regulators from the SEC, FINRA, and OCC shared insights at a panel of the SIFMA C&L Annual Seminar 2019 about current priorities and challenges at their agencies, including Regulation Best Interest, digital assets and assets, … Continue reading

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Telecom regulators: Don’t get rolled by Rewheel

Will the merger between T-Mobile and Sprint make consumers better or worse off? A central question in the review of this merger—as it is in all merger reviews—is the likely effects that the transaction will have on consumers. In this … Continue reading

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US regulators propose changes to Volcker Rule to conform to 2018 legislation

On February 8, 2019, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, and the Commodity Futures Trading Commission (collectively, the “Agencies”) … Continue reading

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