Jack M. McNeily

Latham & Watkins LLP

Articles

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LBRY Ruling: A Nice Read for the SEC

USA - November 18 2022 On November 7, 2022, the Securities and Exchange Commission (SEC) prevailed in a motion for summary judgment against blockchain-based streaming and…

Deric M. Behar, Benjamin A. Naftalis, Stephen P. Wink, Douglas K. Yatter, Adam Zuckerman

SEC Announces First “EPS Initiative” Enforcement Actions

USA - October 14 2020 The enforcement actions provide early clues on how the SEC's "risk-based data analytics" may flag public companies for investigation…

John J. Sikora Jr., Adam L. Rosenbloom, Eric R. Swibel, Heather A. Waller

Key Appellate Court Ruling Ups the Ante for Investment Advisers Act Violations

USA - June 25 2019 On April 30, 2019, the United States Court of Appeals for the District of Columbia Circuit issued its decision in The Robare Group, Ltd., et al. V…

John J. Sikora Jr.

FINRA Launches New Self-Reporting Initiative for 529 Savings Plan Violations

USA - February 28 2019 On January 28, 2019, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19- 04 announcing its 529 Plan Share Class…

John J. Sikora Jr., Stephen P. Wink