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Congress Amends Exchange Act in Response to Kokesh and Liu, Expanding SEC Enforcement Power

USA - April 18 2021 On December 29, 2020, Congress amended Section 21(d) of the Securities Exchange Act of 1934 (Exchange Act) to codify and expand the power of the…

Jaclyn Moyer, Lori A. Martin, Lorraine B. Echavarria, Matthew Beville, Matthew T. Martens, Nicole Rabner, Theresa Titolo.

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…

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

Insider Trading Case to Watch: The Second Circuit to Revisit Blaszczak

USA - February 17 2021 This spring, the Second Circuit will revisit its highly consequential insider trading decision in United States v. Blaszczak.1 The case is one to…

Brett Atanasio, Mark D. Cahn, Theresa Titolo.

Congress Amends Exchange Act, Expanding SEC Enforcement Power

USA - January 4 2021 On January 1, 2021, amendments to Section 21(d) of the Securities Exchange Act of 1934 (Exchange Act) codifying and expanding the power of the…

Jaclyn Moyer, Lori A. Martin, Lorraine B. Echavarria, Matthew Beville, Matthew T. Martens, Nicole Rabner, Theresa Titolo.

CFTC Enforcement Division Issues Compliance Program Guidance

USA - November 11 2020 On September 10, 2020, the Commodity Futures Trading Commission’s (CFTC, or the Commission) Division of Enforcement (Division) director issued a…

Anjan Sahni, Daniel F. Schubert, Matthew Beville, Paul M. Architzel, Petal Walker, Robert Greffenius.