Arthur Don
Greenberg Traurig LLP
Articles
SEC clarifies position on unregistered broker-dealer sponsors of internet funding networks
USA - April 10 2013 In two recent "no-action" letters, the U.S. Securities and Exchange Commission (SEC) has established fairly clear rules regarding which Internet…
SEC issues proposed cyber rule, including 48-hour breach reporting requirement
USA - February 13 2022 On Feb. 9, 2022, the SEC released its long-awaited proposed cybersecurity rule, and there’s a lot to unpack. As GT reported previously, the SEC…
SEC Announces 2022 Examination Priorities
USA - May 5 2022 On March 30, 2022, the Securities and Exchange Commission (SEC) Division of Examinations (Division) announced its examination priorities (the Exam…
2019 SEC Exam Priorities for Securities Industry Registrants
USA - January 17 2019 The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of…
2016 SEC Exam Priorities
USA - February 10 2016 On Jan. 11, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its…
