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SPAC Transaction Explosion Drives SEC Enforcement Focus

USA - April 2 2021 In the face of volatile markets and a global pandemic, an old capital markets vehicle has been taking the markets by storm: special purpose…

Elizabeth Mitchell, Glenn R. Pollner, Lisa Firenze, Lorraine B. Echavarria, Meredith B. Cross, Michael Mugmon, Nicole Rabner, Timothy F. Silva, William R. McLucas.

CFTC 2020 Enforcement and Regulatory Developments and a Look Forward

USA - March 2 2021 Paul Architzel is senior counsel and chair of the WilmerHale Futures and Derivatives Practice, Petal Walker and Matthew Beville are special counsel…

Janelle Johnson, Matthew Beville, Paul M. Architzel, Petal Walker.

The SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers

USA - February 2 2021 On December 23, 2020, the Securities and Exchange Commission (SEC or Commission) issued a statement (Statement) regarding the custody of digital…

Jeremy Moorehouse, Tiffany J. Smith, Twane Harris.

Preparing for Security-based Swap Dealer Registration: Comparing SEC & CFTC Regulatory Requirements

USA - September 8 2020 The Securities and Exchange Commission (SEC) security-based swap dealer rules have finally been issued, and a large amount of work will be required…

Bruce H. Newman.

Navigating the "Good Faith Effort" Standard for Reg BI and Form CRS Implementation

USA - May 13 2020 Last month, SEC Chairman Clayton issued a public statement communicating that firms should not expect a delay of the June 30, 2020…

Stephanie Nicolas, Yoon-Young Lee.