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Federal Framework for Digital Asset Regulation Comes into Focus

USA - March 15 2022 On March 9, 2022, President Biden signed an Executive Order on Ensuring Responsible Development of Digital Assets (“Executive Order”) to mobilize the…

Brian Baltz, Jeffrey P. Ehrlich, Laura Colombell Marshall, Susan C. Rodriguez, Addison Smith, Molly M. White

FINRA Releases 2022 Report on Examination and Risk Monitoring Program

USA - March 15 2022 In February 2022, the Financial Industry Regulatory Authority (FINRA) released the 2022 Report on FINRA’s Examinations and Risk Monitoring Program…

Brian Baltz, Emily P. Gordy, Elizabeth J. Hogan, Chelsey Dawson Klein, Clare E. Reardon, Bryce P. Saunders

SEC Onslaught of Proposed Rules Turns Focus to Investment Advisers

USA - February 24 2022 The Securities and Exchange Commission (“SEC”), under Chairman Gary Gensler, continues to propose rules at a rapid pace. Three of the most recent…

Brian Baltz

SEC speaks 2021: New Enforcement Director resolves to restore public trust, empower staff

USA - October 25 2021 On Oct. 13, 2021, senior officials from the U.S. Securities and Exchange Commission’s Division of Enforcement* convened for a panel discussion at the…

Amanda J. Goldstein, Louis D. Greenstein, Elizabeth J. Hogan, Vinu G. Joseph, Emily Erb Kelley, E. Andrew Southerling, Molly M. White