Regulatory Alerts2020-10-23
Added · Updated
Bulletin 2957 - October 23, 2020
The Department of Banking establishes an online filing option via NASAA's Electronic Filing Depository for Rule 506 private placements, effective November 2, 2020. Liberty Bank filed notice to close a branch at 504 Bridgeport Avenue, Suite 300, Shelton, CT. Bittrex, Inc. entered a consent order to pay $13,375 for unlicensed money transmission activities. Janney Montgomery Scott, LLC entered a consent order to pay $250,000 in fines and restitution for supervisory failures and record-keeping violations regarding agent James Albert Pettit.
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