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SEC Ends 2018 Signaling Its Approach to Regulating the Cryptocurrency Markets

USA - January 15 2019 The US Securities and Exchange Commission (SEC, or the Commission) recently issued a public statement1 and...

John J. Sikora Jr., Cameron R. Kates, Douglas K. Yatter.

SEC Charges “ICO Superstore” as Unregistered Broker-Dealer

USA - October 19 2018 Latham & Watkins operates worldwide as a limited liability partnership organized under the laws of the State of Delaware (USA) with affiliated limited...

John J. Sikora Jr., Douglas K. Yatter, Naim Culhaci.

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...

John J. Sikora Jr., Gregory Mortenson.

A Path Forward for Consumer Tokens?

USA - June 27 2018 SEC's Hinman provides helpful guidance for analyzing digital assets under the US securities laws. William Hinman, Director of the US Securities and...

Cameron R. Kates, David L. Concannon, Miles P. Jennings, Thomas H. Gabay.

Is the SEC’s Proposed “Best Interest” Standard for Broker-Dealers in Anyone’s Best Interest?

USA - May 16 2018 Proposal seeks to clarify and enhance obligations applicable to a broker-dealer’s retail customer interactions, but may raise more questions than...

Dana G. Fleischman, Courtenay Myers Lima, Brett M. Ackerman.