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Cyber attacks merit SEC Risk Assessment intervention

USA - May 18 2017 The recent cyberattacks across the globe have caused the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) to issue an alert and...

The SEC reluctantly vacates collateral bars after court loss

USA - March 16 2017 One of the outstanding issues relating to the Dodd-Frank Act was the SEC’s use of statutory power to regulate conduct that occurred prior to its...

If you want trouble, do not register as a broker-dealer

USA - March 15 2017 A recent case before the SEC has only confirmed this advice. The SEC barred a person from the Securities Industry, and required disgorgement in the...

Here come the states In the Trump era, the states may be the new top securities cops

USA - February 27 2017 The SEC and the North American Securities Administrators Association (“NASAA”), the state securities regulators, have signed a Memorandum of...

The more things change, the more they stay the same.

USA - September 13 2016 Given the start of the NFL season and the post-Labor Day last leg of the presidential campaign season, it reminded me of a blog entry that I posted in...