Category Archives: Securities and Commodities
Subscribe to Securities and Commodities RSS Feed2021 Brought SEC Focus on Crypto Exchanges and Lending Platforms
SEC Advisory Fees Focus Continues as Reflected in Division of Examinations Risk Alert and Chair Gensler Comments
Anti-Bribery and Corruption, Sanctions, Trade Embargo, and Export Controls, Securities and Commodities
The Perils of Global Expansion: World’s Largest Ad Agency Sanctioned $19 Million for FCPA Violations, Insufficient Controls
Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities
FINRA’s Important Reminder to Firms—Don’t Forget to Supervise Third-Party Vendors
A New Avenue for Defendants in Securities Fraud Class Actions: Supreme Court Holds “Generic” Nature of Statements Is “Important Evidence” of Price Impact at Class Certification
SEC 2021 National Exam Program Examination Priorities
Responses Matter: Securities Fraud Sentence Shows the Value of a Sound Response to a Government Investigation
CFPB’s “Change of Direction” After One Month: New Goals, More Attorneys
Consolidated Financial Account Reports and Use of Vendors: FINRA Continues Regulatory Scrutiny – What’s Old is New
Congress Affirms and Extends SEC’s Disgorgement Powers
Pitfalls to Avoid in Investment Adviser Compliance Programs: SEC OCIE Risk Alert
OCIE Finds Supervision Failures at Multiple-Branch Office Investment Advisers
Yet Another Mutual Fund Fee Issue or “Death by a Thousand Cuts”: FINRA Sweep of Rights of Reinstatement Waivers
2020 NASAA Fintech and Cyber Security Symposium – A Download of Key Comments
The SEC Speaks 2020: Enforcement Panel Signals Full Speed Ahead Regardless of the Pandemic
Still Standing: SEC Disgorgement Survives with Limitations
Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities
SEC Enforcement Co-Directors Issue Statement on Insider Trading
COVID-19: Securities Regulators and Industry Associations Issue Coronavirus Guidance and Relief
FINRA 2.0: FINRA Releases Its 2020 Risk Monitoring and Examination Priorities
SEC 2020 National Exam Program Examination Priorities
Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities