Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW

August 7, 2021

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5987/securities-industry-commentator/

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Listing Rules Related to Board Diversity and to Offer Certain Listed Companies Access to a Complimentary Board Recruiting Service (SEC Release No. 34-92590; File Nos. SR-NASDAQ-2020-081; SR-NASDAQ-2020-082)

Statement on the Commission's Approval of Nasdaq's Proposal for Disclosure about Board Diversity and Proposal for Board Recruiting Service by SEC Chair Gary Gensler

Statement on Nasdaq's Diversity Proposals - A Positive First Step for Investors by SEC Commissioner Allison Herren Lee and SEC Commissioner Caroline A. Crenshaw

Statement on the Commission's Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Listing Rules Related to Board Diversity submitted by the Nasdaq Stock Market LLC by SEC Commissioner Hester M. Peirce

Statement on the Commission's Order Approving Exchange Rules Relating to Board Diversity by SEC Commissioner Elad L. Roisman

SEC Charges Decentralized Finance Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings / Case Is Agency's First Involving Securities Using DeFi Technology (SEC Release)

SEC Awards About $1 Million and About $500,000 to Two Whistleblowers

Order Determining Whistleblower Award Claim

SEC Awards About $2 Million to Whistleblower

Order Determining Whistleblower Award Claim

Statement in Connection with the SEC's Whistleblower Program by SEC Chair Gary Gensler

Procedures for the Commission's Use of Certain Authorities Under Rule 21F-3(B)(3) and Rule 21F-6 of the Securities Exchange Act of 1934 (SEC Rel. No. 34-92565)

Statement on the Commission's Action to Disregard Recently-Amended Whistleblower Rules by SEC Commissioner Hester M. Peirce and SEC Commissioner Elad L. Roisman

Jury Convicts Two Former Wall Street Bank Traders of Wire Fraud (DOJ Release)

SEC Obtains Default Judgment Against Hacker and Trader in Edgar Hacking Case (SEC Release)

Jamaican National Sentenced for Stealing more than $970,000 in Lottery Scam (DOJ Release)

FINRA Censures and Fines Dough LLC for Unregistered Principal

In the Matter of Dough LLC, Respondent (FINRA AWC)

A Free Credit Card Prompts a Costly Expungement (BrokeAndBroker.com Blog)

At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com Blog)

FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5986/securities-industry-commentator/

Statement in Connection with the SEC's Whistleblower Program by SEC Chair Gary Gensler

Statement on the Commission's Action to Disregard Recently-Amended Whistleblower Rules by SEC Commissioner Hester M. Peirce and SEC Commissioner Elad L. Roisman

A Free Credit Card Prompts a Costly Expungement (BrokeAndBroker.com Blog)

SEC Charges Issuer for Conducting Fraudulent and Unregistered Digital Asset Security Offering (SEC Release)

Attorney Sentenced for Conspiracy to Commit Wire Fraud and Money Laundering (DOJ Release)

Jury Finds Broker-Dealer, Transfer Agent and Two Key Principals Liable in Microcap Shell Factory Fraud (SEC Release)

FINRA Censures and Fines Piper Sandler for Reg M Anti-Manipulation Compliance

In the Matter of Piper Sandler & Co. (f/k/a Sandler O'Neill & Partners, L.P), Respondent (FINRA AWC)

At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com Blog)

FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5985/securities-industry-commentator/

At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com Blog)

Jury Finds Broker-Dealer, Transfer Agent and Two Key Principals Liable in Microcap Shell Factory Fraud (SEC Release)

Remarks Before the Aspen Security Forum by SEC Chair Gary Gensler

SEC Charges Two Public Companies and Executives with Financial and Disclosure Fraud (SEC Release)

Canadian Citizen Convicted for Pump-and-Dump Securities Fraud Scheme (DOJ Release)

FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5984/securities-industry-commentator/

Notice of Annual Meeting of FINRA Firms and Election Proxy

Bill Singer Urges FINRA Small Firms to Vote for Paige W. Pierce

SEC Charges Ernst & Young, Three Audit Partners, and Former Public Company CAO with Audit Independence Misconduct (SEC Release)

SEC Charges Las Vegas Real Estate CEO with Defrauding Investors (SEC Release)

Canadian Citizen Convicted for Pump-and-Dump Securities Fraud Scheme (DOJ Release)

SEC Awards Over $2 Million and Over $150,000 to Two Whistleblowers

Order Determining Whistleblower Award Claim

SEC Awards Over $1.1 Million and Over $500,000 to Two Whistleblowers

Order Determining Whistleblower Award Claim

Staff Statement on the Proposed Expert Market (SEC Division of Trading and Markets Staff)

FINRA Bars Rep for Conversion of Elderly Customer's Checks

In the Matter of Jeffrey Scott Anderson, Respondent (FINRA AWC )

FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic (BrokeAndBroker.com Blog)

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5983/securities-industry-commentator/

FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic (BrokeAndBroker.com Blog)

Statement on Investor Protection Related to Recent Developments in China by SEC Chair Gary Gensler

Prepared Remarks for National Whistleblower Day Celebration by SEC Chair Gary Gensler

SEC Charges Ernst & Young, Three Audit Partners, and Former Public Company CAO with Audit Independence Misconduct (SEC Release)

U.S. Promoter of Foreign Cryptocurrency Companies Pleads Guilty for Role in Multimillion-Dollar Securities Fraud Scheme (DOJ Release)

Former President and CEO of now bankrupt precious metals firm convicted of mail and wire fraud for Ponzi-type scheme / Defrauded more than 2500 customers of $25 million (DOJ Release)

Former Bank Branch Manager Sentenced for Fraud Schemes (DOJ Release)

Former Chief Financial Officer of Publicly Traded Company Convicted of Securities and Accounting Fraud (DOJ Release)

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