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87 results found

Article

Fox Rothschild LLP | USA | 18 May 2017

Cyber attacks merit SEC Risk Assessment intervention

The recent cyberattacks across the globe have caused the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) to issue an alert and

Article

Fox Rothschild LLP | USA | 16 Mar 2017

The SEC reluctantly vacates collateral bars after court loss

One of the outstanding issues relating to the Dodd-Frank Act was the SEC’s use of statutory power to regulate conduct that occurred prior to its

Article

Fox Rothschild LLP | USA | 15 Mar 2017

If you want trouble, do not register as a broker-dealer

A recent case before the SEC has only confirmed this advice. The SEC barred a person from the Securities Industry, and required disgorgement in the

Article

Fox Rothschild LLP | USA | 27 Feb 2017

Here come the states In the Trump era, the states may be the new top securities cops

The SEC and the North American Securities Administrators Association (“NASAA”), the state securities regulators, have signed a Memorandum of

Article

Fox Rothschild LLP | USA | 13 Sep 2016

The more things change, the more they stay the same.

Given the start of the NFL season and the post-Labor Day last leg of the presidential campaign season, it reminded me of a blog entry that I posted in

Article

Fox Rothschild LLP | USA | 26 Jun 2016

Huge customer protection rule fine brings back memories

My friend and a legend in the securities regulatory field, Edwin Nordlinger, who served as Deputy Regional Director in the SEC’s New York office for

Article

Fox Rothschild LLP | USA | 19 Feb 2013

Even unconfirmed, securities arbitration awards bar recovery

The Arkansas Court of Appeals approved the dismissal of complaint filed by securities investors because an arbitration award had resulted in other

Article

Fox Rothschild LLP | USA | 18 Feb 2013

You may get lucky by not discussing merger talks

Corporate officials, who did not disclose merger talks with a competitor, did not commit securities fraud. See Filing v. Phipps, 6th Cir., No

Article

Fox Rothschild LLP | USA | 18 Feb 2013

The proper care and feeding of experts in securities matters

As many regular blog readers know, I have participated as an expert witness before. It is fascinating to share with our readers other epxert

Article

Fox Rothschild LLP | USA | 15 Feb 2013

Lawyers and issuers really need to listen to SEC comments regarding cyber security

The SEC's Division of Corporation Finance has indicated that lawyers for issuers and issuers themselves should focus on and respond to the SEC'

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