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SEC Proposes Rules to Prevent Fraud/Manipulation in Security-Based Swaps and Undue Influence Over Chief Compliance Officers

USA - January 19 2022 On December 15, 2021, in a 3-2 vote along party lines, the U.S. Securities and Exchange Commission (SEC) proposed two rules related to security-based…

Katie Klaben, Charles A. Sommers

SEC Proposes Expansive and Complex Reporting Regime for Security-Based Swap Users

USA - January 4 2022 On December 15, 2021, in a 3-2 vote along party lines, the U.S. Securities and Exchange Commission (SEC) proposed Rule 10B-1 (the Proposal) that…

Katie Klaben, Charles A. Sommers

SEC Proposes Extensive Reporting and Disclosure of Securities Lending Information

USA - November 23 2021 On November 18, 2021, the U.S. Securities and Exchange Commission (SEC) published and requested comment on proposed Rule 10C-1 (the Rule) under the…

James Brigagliano, W. Hardy Callcott, Kevin J. Campion, David M. Katz, Erin N. Kauffman

A general introduction to the regulation of virtual currencies in USA

USA - September 3 2021 This article reviews the need-to-know features of the legal and regulatory frameworks governing virtual currencies in USA, with particular regard to applicable securities and banking laws.

James B. Biery, Daniel Engoren, Dominique Gallego, Teresa Wilton Harmon, Nathan A. Howell, James C. Munsell, Michael S. Sackheim, Allison Ross Stromberg, Kristin S. Teager, David E Teitelbaum, Lilya Tessler

Securities Enforcement & Regulatory Report

USA - November 3 2020 Most securities defense lawyers are familiar with the remedies typically imposed in settled enforcement cases, such as civil penalties, disgorgement…

Griffith L. Green, Stephen L. Cohen, Daniel Engoren, Kenyon Colli Hall, Elizabeth A. Marino, Gerald J. Russello, Lilya Tessler, Michael D. Wolk