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U.S. Supreme Court Indirectly Limits Important Component of DOJ’s FCPA Pilot Program
  • McGuireWoods LLP
  • USA
  • June 7 2017

On June 5, 2017, the U.S. Supreme Court unanimously held in Kokesh v. Securities and Exchange Commission, No. 16-529, that the SEC may not reach


U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Orders
  • McGuireWoods LLP
  • USA
  • June 6 2017

A unanimous United States Supreme Court held Monday, in Kokesh v. Securities and Exchange Commission, that the five-year statute of limitations under


SEC Issues Guidance in Wake of WannaCry Ransomware Attack
  • McGuireWoods LLP
  • USA
  • June 1 2017

On Friday, May 12, the WannaCry ransomware attack struck hundreds of thousands of users across the globe, causing major disruptions in private and


FINRA President and CEO Robert Cook discusses FINRA360 and Consolidating Enforcement Divisions
  • McGuireWoods LLP
  • USA
  • May 30 2017

On May 17, 2017, at the annual FINRA conference in Washington D.C., FINRA President and CEO Robert Cook discussed the recently-launched FINRA360


No Delay of DOL Fiduciary Rule’s June 9 Applicability Date; Additional Guidance Issued
  • McGuireWoods LLP
  • USA
  • May 24 2017

Earlier this week, Secretary of Labor Alexander Acosta indicated in a Wall Street Journal op-ed article that there will be no further delay as to the


Proposed Securities Rule Changes Focus on Bank Loans, Other Private Placements
  • McGuireWoods LLP
  • USA
  • March 30 2017

On March 1, 2017, the Securities and Exchange Commission (SEC) proposed amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 that


SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance AML Officer
  • McGuireWoods LLP
  • USA
  • March 13 2017

As we have highlighted in prior posts, regulators of financial institutions, including FinCEN, FINRA and SEC, have increasingly brought actions to


Will 2017 Be the Year of Insider Trading Reform?
  • McGuireWoods LLP
  • USA
  • March 9 2017

For several years running, insider trading has been among the most high-profile enforcement priorities for both DOJ and the SEC. Unlike most federal


European Regulators to Take Risk-Based Approach to Variation Margin Compliance
  • McGuireWoods LLP
  • European Union, USA
  • February 24 2017

On February 23, 2017, the European Supervisory Authorities (ESAs) announced that neither the ESAs nor competent authorities (CAs) would provide


Swap Dealer Banks Win Six Month Phase-In for Variation Margin Requirements for Most Counterparties
  • McGuireWoods LLP
  • USA
  • February 23 2017

U.S. swap dealer banks received much needed breathing room, but not complete relief from the March 1, 2017 variation margin (VM) deadline for swaps