Category Archives: Securities and Commodities
Subscribe to Securities and Commodities RSS FeedResponses 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
SEC Continues Compensation Disclosure Focus With FAQs and Enforcement
The More Things Change, the More They Stay the Same –Joint Statement by FINRA and the SEC on the Customer Protection Rule and Digital Asset Securities
D.C. Circuit Vacates SEC Sanctions, Says Negligent Omissions Are Not ‘Willful’ Under Advisers Act
SEC OCIE Highlights Potential Deficiencies in Firm Privacy Policies
Recent New Jersey Rule Proposal Progresses State Efforts to Impose Fiduciary Duties on Brokers
Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities
SEC Charges Its First Robo Actions – Increasing Scrutiny of the Investment Platform
Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities
Does United States v. Ying Expand the Knowledge Requirement for “Classical” Insider Trading?
SEC to Begin Regulating Initial Coin Offerings More Heavily
Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities, Uncategorized