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Financial Services Update, Vol. 13, Issue 37
  • Winston & Strawn LLP
  • USA
  • October 8 2018

Over the weekend, the Senate held the final confirmation vote for Supreme Court nominee Brett Kavanaugh. Passing the Senate vote by a 50 to 48 margin


SCOTUS Backs Employee Class Action Waivers: Next Steps for Financial Services Employers
  • Epstein Becker Green
  • USA
  • October 5 2018

In May, the U.S. Supreme Court ruled in Epic Systems Corp. v. Lewis that employers may lawfully require employees to sign arbitration agreements that


FINRA Reminds Members of Obligations Related to OTC Securities Quoted by a Filed Form 211
  • Katten Muchin Rosenman LLP
  • USA
  • September 28 2018

On September 24, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice (Notice) reminding firms of their applicable


Principles Guiding FINRA Enforcement Action
  • Latham & Watkins LLP
  • 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


Be Careful Not to Engage in Fraudulent Non-Transfers
  • Greenspoon Marder LLP
  • USA
  • September 20 2018

We have always recommended that no one participate in any fraudulent transfers (i.e., transfers made with any intent to hinder or delay a creditor)


Legal alert: A week of “firsts” in cryptocurrency prosecution
  • Eversheds Sutherland (US) LLP
  • USA
  • September 17 2018

Last week, on September 11, 2018, a number of "firsts" occurred in the prosecution of cryptocurrency-related activities. The Securities and Exchange


A week of “firsts” in cryptocurrency prosecution
  • Eversheds Sutherland (US) LLP
  • USA
  • September 17 2018

On September 11, 2018, a number of “firsts” occurred in the prosecution of cryptocurrency-related activities at the Securities and Exchange Commission


Financial Services Update, Vol. 13, Issue 34
  • Winston & Strawn LLP
  • USA
  • September 17 2018

Last week saw a series of firsts in the regulation of cryptocurrencies, as regulators expanded their efforts to enforce federal securities laws in the


Recent Development in Regulatory Enforcement of Digital Securities
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • September 12 2018

In a flurry of activity and confluence of developments, the SEC, FINRA and a Brooklyn federal judge have commenced actions and made rulings that


Financial Services Update, Vol. 13, Issue 33
  • Winston & Strawn LLP
  • USA
  • September 10 2018

It is estimated that more than $370 trillion worth of bonds, loans, derivatives and other instruments are linked to LIBOR or another interbank