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Articles

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Principles Guiding FINRA Enforcement Action

USA - September 20 2018 FINRA Enforcement head Susan Schroeder offers member firms clarity on arguments most likely to move FINRA to decline an Enforcement action. The...

Gregory Mortenson, Stephen P. Wink.

Liability Under the Federal Securities Laws for Media Personalities

USA - June 29 2018 How statements in both traditional and new media outlets may catch the SEC's attention. From music moguls and sports icons promoting cryptocurrencies...

Eric R. Swibel.

SEC Takes Enforcement Action and Issues Statement on Digital Asset Trading Platforms

USA - April 16 2018 Crypto trading platforms worldwide should be aware of recent SEC actions if they provide access to US persons or persons within the US for trading...

Vivian A. Maese, Wenchi Hu, Timothy P. Pisacreta.

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

USA - March 26 2018 US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs), impose numerous yearly reporting and compliance...

J. Ashley Weeks, Amy R. Rigdon, Sean M. FitzGerald, Chasmin D. Brooks, Barton B. Clark, Cheryl M. Coe, Nabil Sabki, Yvette D. Valdez.

SEC’s Recent BitFunder Charges and Statement on Digital Asset Trading Platforms What They Mean to Crypto Market Participants

USA - March 12 2018 The SEC continues to send messages to the nascent cryptocurrency market. The agency has recently brought enforcement actions and issued a public...

Vivian A. Maese, Wenchi Hu.