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SEC staff summary on information barriers for inside information applicable to broker-dealers and investment advisers

USA - October 24 2012 On September 27, 2012, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) issued a summary report (the "Summary Report") describing the best practices of broker-dealers to protect against the misuse of material nonpublic information (MNPI) under Section 15(g) of the Securities Exchange Act of 1934 (the "Exchange Act").

Serine R. Consolino, Jonathan Nowakowski.

New Cryptocurrencies and Blockchain Reporting Tools, International Developments, and Crypto Crime Reports

USA - March 8 2019 According to recent reports, a leading social media network and a global messaging firm will each launch their own cryptocurrency over the next year…

Simone O. Otenaike, Diana Stern.

Tezos and ATB Cryptocurrency Class Action Cases Provide Guidance on Different Factors Driving Settlements Against ICO Issuers for Securities Laws Registration Violations

USA - June 4 2020 On April 30, 2020, a federal court in San Francisco preliminarily approved a $25 million class action settlement against the Swiss-based Tezos…

Joanna F. Wasick.

Crypto-Focused Bank Achieves Approval in Wyoming, US HHS Implements Blockchain, NY Challenge to OCC Fintech Charter Continues, ICO Issuer Charged in Fraud Scheme

USA - July 31 2020 Former Wyoming regulator Caitlin Long, now the CEO of a payments processing company, recently announced that her company has received approval from…

Robert A. Musiala Jr., Veronica Reynolds, Joanna F. Wasick.

2013 year-end securities litigation and enforcement highlights

USA - January 30 2014 We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement…

Susrut A. Carpenter, Jonathan A. Forman, Margaret E. Hirce, Mark A. Kornfeld, Brian W. Song.