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Securities Compliance Sentinel

Analysis of cutting-edge securities industry issues

Amit Shah

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NFA Prohibits Funding of Retail Forex Accounts With Credit Cards

By Amit Shah on December 5, 2014

This week, the CFTC approved a NFA Interpretative Notice that prohibits a Member from accepting credit card payments from customers to fund retail forex accounts.  The NFA recently reviewed how…
Continue Reading NFA Prohibits Funding of Retail Forex Accounts With Credit Cards

Posted in CFTC Compliance, NFA Enforcement

Will There Be A Fiduciary Duty?

By Amit Shah on April 25, 2014

The Dodd-Frank Act directed the SEC to study whether broker-dealers should be held to a fiduciary duty standard rather than the lower “suitability” standard.  Advocates for the fiduciary standard claim…
Continue Reading Will There Be A Fiduciary Duty?

Posted in Broker-Dealer Regulation, Dodd-Frank

NFA Studies Insuring Customer Segregated Accounts

By Amit Shah on November 15, 2013

In the wake of several high profile failures of futures market participants, the NFA and others recently completed a study of how customer asset protection insurance (“CAPI”) would work in…
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Posted in CFTC Compliance

SEC Looking At Insider Trading Rules For Commodities Markets

By Amit Shah on August 30, 2013

SEC Chairman Mary Jo White recently stated at a Senate Banking Committee hearing that the SEC was examining whether the insider trading rules should be expanded to include the commodities…
Continue Reading SEC Looking At Insider Trading Rules For Commodities Markets

Posted in Dodd-Frank, SEC Enforcement

FINRA May Publicly Share Disciplinary Complaints Against Brokers

By Amit Shah on July 19, 2013

Much to the disappointment of brokers, the SEC recently approved a proposed rule that allows FINRA to publicly release copies of any disciplinary complaint or decision it issues, including the…
Continue Reading FINRA May Publicly Share Disciplinary Complaints Against Brokers

Posted in Broker-Dealer Regulation, FINRA Enforcement

The SEC Modifies Its Settlement Policy

By Amit Shah on June 28, 2013

For decades, the SEC allowed defendants to enter into a settlement agreements where they neither admitted nor denied any alleged wrongdoing.  However, in response to political pressure from Senator Elizabeth…
Continue Reading The SEC Modifies Its Settlement Policy

Posted in SEC Enforcement

Self-Funding And The SEC

By Amit Shah on May 17, 2013

This has been the week of scandals.  With political forces, lobbyist and lots of deep pockets, our government is a breeding ground for scandals.  The SEC has certainly not been…

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Posted in SEC Enforcement

Pleading Scienter Seems To Get Harder And Harder

By Amit Shah on May 3, 2013

I do not envy any attorney who attempts plead a Section 10b-5 claim.  Courts throughout the country have made pleading scienter extremely difficult, and the benefit of any doubt favors…

Continue Reading Pleading Scienter Seems To Get Harder And Harder

Posted in Securities Litigation

Section 15(a) Registration And Foreign Transactions

By Amit Shah on April 19, 2013

A magistrate judge in the Northern District of Illinois recently ruled that Section 15(a) of the Exchange Act does not apply extraterritorially even if a foreign transaction was facilitated by…
Continue Reading Section 15(a) Registration And Foreign Transactions

Posted in SEC Compliance

THE SEC AND CFTC WORKING TOGETHER

By Amit Shah on March 22, 2013

Over the last several years, Congress and industry insiders have discussed whether it is time to merge the SEC and CFTC.  After some high-profile regulatory lapses by both agencies, Congressional…

Continue Reading THE SEC AND CFTC WORKING TOGETHER

Posted in Dodd-Frank

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