Subject to Inquiry

Subject to Inquiry


Government Investigations and White Collar Litigation Group

Amanda J. Goldstein

Photo of Amanda J. Goldstein Amanda is a member of McGuireWoods’ nationally-recognized Government Investigations & White Collar Litigation department and the firm’s Securities Enforcement & Regulatory Counseling practice group. Amanda has significant experience representing financial services clients in complex securities matters, with a focus on internal investigations and defense from regulatory enforcement proceedings brought by the SEC, FINRA, NYSE, CBOE, and state financial regulators.

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FINRA Enforcement Previews Initial CAT Enforcement Philosophy

Securities and Commodities
On May 18, 2023, during an “Ask FINRA Senior Staff” panel held as part of FINRA’s 2023 Annual Conference, Christopher Kelly, Acting Head of FINRA Enforcement, provided a first look into how FINRA Enforcement intends to address CAT reporting violations as the industry nears the three-year anniversary of the first Phase of CAT go-live and… Continue Reading

Update on FINRA’s Use of CAT Data – They Are “Just Scratching the Surface”

Securities and Commodities
During FINRA’s 2023 Annual Conference held on May 16-18, 2023, several panels provided insight into how FINRA is currently using CAT data for market surveillance and how FINRA plans to use the data going forward to both develop more sophisticated surveillance reviews and further promote industry-wide efficiencies. … Continue Reading

The SEC Speaks 2020: Enforcement Panel Signals Full Speed Ahead Regardless of the Pandemic

Compliance, Enforcement and Prosecution Policy and Trends, Securities and Commodities
Senior officials from the U.S. Securities and Exchange Commission Division of Enforcement convened at a virtual The SEC Speaks conference panel to discuss fiscal year 2020 enforcement results and report on enforcement priorities. To no one’s surprise, the impact of the pandemic on enforcement was a significant part of the discussion. Read our alert for… Continue Reading

D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not ‘Willful’ Under Advisers Act

Securities and Commodities
On April 30, the U.S. Circuit Court of Appeals for the District of Columbia Circuit vacated a Securities and Exchange Commission order imposing sanctions. The court held that an investment advisory firm and its owners did not violate Section 207 of the Investment Advisers Act of 1930, 15 U.S.C. § 80b-7, by negligently omitting material facts from the… Continue Reading

Recent New Jersey Rule Proposal Progresses State Efforts to Impose Fiduciary Duties on Brokers

Financial Institution Regulation, Securities and Commodities
On April 15, the New Jersey Bureau of Securities (the “Bureau”) issued a rule proposal to establish a uniform fiduciary duty standard applicable to investment advisers, brokers-dealers and their registered representatives and agents.  Specifically, the proposed rule (N.J.A.C. 13:47A-6.4), which could take effect as early as the end of the year, will require all investment… Continue Reading

SEC Expected to Expedite FCPA Investigations in Light of Kokesh

Anti-Bribery and Corruption, Enforcement and Prosecution Policy and Trends
On November 9, 2017, Steven R. Peikin, Co-Director of the SEC’s Division of Enforcement, delivered a keynote speech at a conference commemorating the 40th anniversary of the enactment of the Foreign Corrupt Practices Act (“FCPA”) in which he reflected on “the past, present, and future” of the SEC’s enforcement of the FCPA. After confirming the… Continue Reading

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