Results 1 to 5 of 28

SEC v. Ripple: Approaching Judgment Day

USA - January 19 2023 While a conclusion to the much-hyped case may be approaching, market participants should be wary of doomsday prognostications. As a New Year begins…

Jack Barber, Deric M. Behar, Natalie Kaye DeLave, William R. Baker III, Benjamin A. Naftalis, Stephen P. Wink, Douglas K. Yatter

When Are CCOs on the Hook? FINRA Offers Guidance on CCO Liability

USA - March 31 2022 Guidance clarifies assessment of liability under Rule 3110, including designation as supervisor, application of reasonableness standard, and factors…

Deric M. Behar, Marlon Q. Paz, Stephen P. Wink

Second Circuit Affirms SEC’s Bank Secrecy Act Powers

USA - January 11 2021 The Second Circuit's recent decision gives the SEC the green light to continue enforcing broker-dealer compliance with the Bank Secrecy Act…

Hye Eun (Michelle) Cho, Douglas N. Greenburg, William R. Baker III, Timothy H. McCarten, Benjamin A. Naftalis, Nabil Sabki, Eric S. Volkman, Douglas K. Yatter

US Congress Affirms and Expands SEC’s Disgorgement Authority in Annual Defense Spending Bill

USA - January 4 2021 The legislation — passed via the first congressional override of the Trump Presidency — extends the SEC’s ability to obtain disgorgement for…

Leslie R. Caldwell, Kevin Andrew Chambers, Andrew Clubok, Blair Connelly, Alice S. Fisher, Douglas N. Greenburg, Joshua G. Hamilton, William R. Baker III, Erin Brown Jones, Brian E. Kowalski, Clayton D. LaForge, Roman Martinez, Matthew Rawlinson, Sandeep Savla, Blake E. Stafford

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…

Jack M. McNeily, Adam L. Rosenbloom, Eric R. Swibel, Heather A. Waller