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The More Things Change, the More They Stay the Same -Joint Statement by FINRA and the SEC on the Customer Protection Rule and Digital Asset Securities

USA - July 9 2019 On Monday, July 8th, FINRA and the SEC took the unusual step of issuing a joint statement on broker-dealer custody of digital asset securities. In...

Emily P. Gordy, Molly M. White.

Congressional Investigations: Beyond Sensational Headlines Incoming House Leaders Announce Broad Investigative Priorities Targeting Business Community

USA - December 18 2018 In the politically explosive atmosphere of Washington, the talk of the town is focused on congressional investigations: who will be called before...

Todd R. Steggerda, Richard Cullen, George J. Terwilliger III, Robert J. Bittman, Charles Wm. McIntyre, Mona G. Mohib, Frank J. Donatelli, Brian C. Wanglin, Robert K. Wasinger, Kurt W. Meyers, L. F. Payne Jr., Paul J. Reagan, John D. Adams, Ryan M. Bernstein, J. Patrick Rowan, Susan C. Rodriguez.

SEC Launches Self-Reporting Initiative for Investment Advisers

USA - February 15 2018 In line with Chairman Jay Clayton’s oft-stated priority of protecting the long-term interests of Main Street investors, on Feb. 12, 2018, the...

Nathan R. Pittman, William E. Goydan, Kiran V. Somashekara.

U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Orders

USA - June 6 2017 A unanimous United States Supreme Court held Monday, in Kokesh v. Securities and Exchange Commission, that the five-year statute of limitations under...

James C. Freije.

Just admit it - SEC requiring admissions with increased frequency

USA - December 4 2015 As we previously reported, in 2012 and 2013 the Securities and Exchange Commission (SEC) changed its longstanding policy of permitting defendants to...

Molly M. White.