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SEC Settles Charges with 79 Self-Reporting Advisers in Share Class Selection Disclosure Initiative

USA - March 22 2019 On March 11, 2019, the US Securities and Exchange Commission (“SEC”) announced that it settled charges against 79 investment advisers who...

Peter M. McCamman, Stephanie M. Monaco, Leslie S. Cruz.

New York Subjects State Licensees to Whistleblower Protections

USA - February 14 2019 Add the New York Department of Financial Services ("DFS") to the veritable orchestra of governmental entities and regulatory authorities that have...

Stephanie C. Robinson, Krista Cooley, Nicholas McCoy, Richard M. Rosenfeld.

SEC Intensifies Probe of Virtual Currency Market

USA - March 5 2018 Major media sources reported last week that the US Securities and Exchange Commission ("SEC") has intensified its ongoing probe of the virtual...

Nina L. Flax, Nicholas McCoy, Alex C. Lakatos, Adam D. Kanter, Richard M. Rosenfeld, Philip J. Niehoff, Matthew Bisanz, Jennifer J. Carlson.

Congress Joins the Party: Senate Banking Committee Hearing on Virtual Currency Regulation

USA - February 14 2018 On February 6, 2018, the chairmen of the US Securities Exchange Commission ("SEC") and the US Commodity Futures Trading Commission ("CFTC") testified...

Alex C. Lakatos, Adam D. Kanter, Richard M. Rosenfeld, Matthew Bisanz, Jennifer J. Carlson.

SEC Chairman: “We’re Going to Be Bringing More Cases”

USA - February 9 2018 The US Securities and Exchange Commission ("SEC") has brought several cases against virtual currency issuers and public companies that have touted...

Nina L. Flax, Richard M. Rosenfeld, Philip J. Niehoff, Matthew Bisanz, Jennifer J. Carlson.