Articles

Results 1 to 5 of 79


The Crypto Winter of Discontent Gets Colder with First of Its Kind Insider Trading Charges

USA - August 9 2022 As market and regulatory uncertainty swirl around cryptocurrencies and other digital assets, the Securities and Exchange Commission (the “SEC”) and…

Kara A. Kuchar, Philip J. Bezanson, Stephanie R. Breslow, Charles J. Clark, Shannon B. Wolf

Securities Enforcement Quarterly August 2022

USA - August 2 2022 After issuing a flurry of rule-making proposals in the first quarter of 2022, SEC Chair Gensler appeared before Congress to advocate for additional…

Charles J. Clark, Harry S. Davis, Marc E. Elovitz, Taleah E. Jennings, Gayle R. Klein, Douglas I. Koff, Kelly Koscuiszka, Martin L. Perschetz, Betty Santangelo, Howard Schiffman, Gary Stein, Michael E. Swartz, Peter H. White

SEC Proposal to Redefine the Definition of 'Dealer' Would Cover Certain Private Funds and Private Fund Advisers

USA - May 16 2022 In the first quarter of 2022, the U.S. Securities and Exchange Commission (“SEC”) proposed a slew of new rules and rule amendments directed at private…

Jennifer Dunn, William J. Barbera, Marc E. Elovitz, Kelly Koscuiszka, Derek N. Lacarrubba, Julian Rainero

Securities Enforcement Quarterly May 2022

USA - May 3 2022 In 2021, the SEC set forth an ambitious agenda for enforcement and regulation and, as discussed in this edition of Schulte Roth & Zabel's Securities…

Charles J. Clark, Harry S. Davis, Marc E. Elovitz, Angela Garcia, Taleah E. Jennings, Gayle R. Klein, Douglas I. Koff, Kelly Koscuiszka, Benjamin Lewson, Martin L. Perschetz, Betty Santangelo, Howard Schiffman, Gary Stein, Michael E. Swartz, Peter H. White, Shannon B. Wolf

Securities Enforcement Quarterly

USA - January 28 2022 During the first three quarters of 2021, SEC Chair Gensler set out an expansive regulatory agenda. The fourth quarter of 2021 was marked by the SEC’s…

Charles J. Clark, Melanie S. Collins, Harry S. Davis, Marc E. Elovitz, Angela Garcia, Taleah E. Jennings, Gayle R. Klein, Douglas I. Koff, Kelly Koscuiszka, Vincent W. Moccio, Martin L. Perschetz, Jeffrey F. Robertson, Betty Santangelo, Howard Schiffman, Hamdi Soysal, Gary Stein, Ramya A. Sundaram, Michael E. Swartz, Alex Wharton, Peter H. White