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Congress Codifies Longstanding M&A Broker Exemption from SEC Registration

USA - January 30 2023 On Dec. 29, 2022, President Biden signed into law H.R. 2617, the “Consolidated Appropriations Act of 2023.” Among the routine federal funding…

William B. Mack, Mark D. Shaffer, Daniel J. Wadley

SEC v. LBRY, Inc.: The SEC’s Latest Crypto Victory

USA - November 9 2022 On Nov. 7, 2022, the U.S. District Court for the District of New Hampshire granted the Securities and Exchange Commission’s motion for summary…

Charlie Berk, Michael M. Besser, Kyle R. Freeny, Barbara A. Jones, William B. Mack, David I. Miller

SEC v. LBRY, Inc.: The SEC’s Latest Crypto Victory

USA - November 9 2022 On Nov. 7, 2022, the U.S. District Court for the District of New Hampshire granted the Securities and Exchange Commission’s motion for summary…

Charlie Berk, Michael M. Besser, Kyle R. Freeny, Barbara A. Jones, William B. Mack, David I. Miller

Crypto Showdown: SEC’s Lawsuit Against Ripple Labs Reaches Critical Juncture

USA - November 3 2022 On Dec. 12, 2020, the U.S. Securities and Exchange Commission brought what crypto followers consider one of the most consequential enforcement…

Michael M. Besser, Paul J. Ferak, Barbara A. Jones, William B. Mack, David I. Miller, Daniel J. Wadley

FINRA Releases Updated Guidelines and Sanctions for Securities Rule Violations

USA - October 24 2022 On Sept. 29, 2022, the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 22-20, alerting members to changes to the Sanctions…

William B. Mack