All Mark Uyeda articles
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News BriefSEC continues Dodd-Frank run, passes conflicts in securities trading rule
The Securities and Exchange Commission moved quickly to adopt an unfulfilled mandate of the Dodd-Frank Act to prevent the sale of certain securities if there is a conflict of interest.
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PremiumSecond SEC commissioner stumps for CCO liability framework
SEC Commissioner Mark Uyeda called for the agency to establish a framework that would describe scenarios in which a chief compliance officer would be held liable for securities law violations made by their firm.
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News BriefSEC adopts Dodd-Frank rule for short sale transparency
The Securities and Exchange Commission continued its push to get across the finish line the remaining provisions of the Dodd-Frank Act with the adoption of a new rule for institutional investment managers to provide greater transparency regarding short sale data.
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News BriefSEC fines registered rep for causing firm’s SARs filing lapses
A registered representative at an unnamed brokerage firm will pay $20,000 to settle charges by the Securities and Exchange Commission that he failed to notify the firm’s anti-money laundering department of apparent suspicious transactions.
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News BriefSEC commissioners criticize order against transfer agent DST
The Securities and Exchange Commission’s two Republican commissioners dissented from an agency order against transfer agent DST Asset Manager Solutions they deemed to be an example of regulation by enforcement.
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News BriefSEC on guard in adopting money market fund reforms
The Securities and Exchange Commission voted to approve rule changes affecting money market funds that the agency hopes fare better than previous efforts in the space.
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PremiumSEC passes new disclosure rules for hedge, private fund advisers
The Securities and Exchange Commission passed new amendments requiring advisers to hedge and private funds to disclose events that could indicate systemic risk or investor harm, a move the regulator said will improve transparency within $20 trillion of market activity.
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News BriefSEC commissioner advocates blanket compliance delays for small companies
Smaller reporting companies should, by default, have delayed compliance dates of at least one year on any new disclosure rule, SEC Commissioner Mark Uyeda said in a recent speech.
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News BriefSEC commissioners question best execution ruling in Huntleigh Advisors case
Huntleigh Advisors and affiliate Datatex Investment Services agreed to pay $893,502 to settle charges laid by the Securities and Exchange Commission regarding failure to disclose conflicts of interest to their advisory clients over eight years.
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ArticleToews fined $150K over proxy voting violations
Investment adviser Toews Corp. agreed to pay $150,000 as part of a settlement with the Securities and Exchange Commission over proxy voting rule violations that prompted two commissioners to issue a dissenting statement.
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ArticleSenate confirms Jaime Lizárraga, Mark Uyeda as SEC commissioners
Democrat Jaime Lizárraga and Republican Mark Uyeda have been confirmed by the Senate to serve as commissioners on the Securities and Exchange Commission.
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ArticleBiden to nominate two for SEC commissioner openings
President Joe Biden announced his intention to nominate Jaime Lizárraga and Mark Uyeda for the Democratic and Republican commissioner openings, respectively, at the Securities and Exchange Commission.