Kyle P. Swan

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SEC Division of Examinations Publishes Risk Alert on Broker-Dealer AML Practices

USA - April 2 2021 On March 29, 2021, the staff of the Division of Examinations ("EXAMS") of the US Securities and Exchange Commission ("SEC") published a Risk Alert…

Brad A. Resnikoff, Gina M. Parlovecchio, Marlon Paz, Thomas J. Delaney.

SEC Division of Examinations Risk Alert: New SEC Leadership Continues Focus on Examinations Related to Digital Asset Securities

USA - March 1 2021 On February 26, 2021, the US Securities and Exchange Commission's ("SEC") Division of Examinations published a risk alert in connection with the offer…

Marlon Paz.

SEC Office of Municipal Securities Issue Staff Statement on LIBOR Transition

USA - February 22 2021 On January 8, 2021, the staff of the US Securities and Exchange Commission's ("SEC") Office of Municipal Securities ("OMS Staff") issued a statement…

Marlon Paz.

U.S. Representatives Urge SEC to Take Action on Custody of Digital Securities

USA - December 15 2020 On December 9, 2020, a bipartisan group of members of the U.S. House of Representatives, including Tom Emmer (R-MN-6), Warren Davidson (R-OH-8), Bill…

Marlon Paz.

SEC Enforcement Annual Report FY2020: Key Takeaways and Trends

USA - November 9 2020 On November 2, 2020, the U.S. Securities and Exchange Commission ("SEC") Division of Enforcement staff published its annual enforcement report for…

Daniel L. Stein, Marlon Paz, Matthew Rossi, Richard M. Rosenfeld.