Stephen P. Wink
Latham & Watkins LLP
Articles
Legislation Offers Long-Awaited Regulatory Clarity and Safeguards for Digital Assets — SEC and Securities
USA - June 21 2022 Securities issues are covered in Title III (Responsible Securities Innovation) of the Responsible Financial Innovation Act (RFIA). The RFIA would add…
Decentralized Autonomous Organizations: Piercing the Digital Veil
USA - May 10 2022 A complaint filed in federal court will test the boundaries of protection from liability for individuals behind decentralized autonomous organizations…
SEC Proposes to Expand Interpretation of “Dealer” and “Government Securities Dealer” Definitions
USA - April 12 2022 On March 28, 2022, the US Securities and Exchange Commission (SEC) proposed rules (Proposing Release) that would require securities market…
Deric M. Behar, Naim Culhaci, Laura N. Ferrell, Marlon Q. Paz, Nabil Sabki
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…
President Biden Issues Executive Order on Digital Assets
USA - March 14 2022 The order directs federal agencies to focus on six priority areas within the digital asset sector and potential development of a US CBDC…
Alan W. Avery, Deric M. Behar, Adam Bruce Fovent, Pia Naib, Yvette D Valdez
