Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities
Category Archives: Securities and Commodities
Subscribe to Securities and Commodities RSS FeedCOVID-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?
Supreme Court Holds Internal Complainants Are Not Dodd-Frank Whistleblowers
SEC to Begin Regulating Initial Coin Offerings More Heavily
Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities
SEC Approves New PCAOB Standard
U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Orders
SEC Issues Guidance in Wake of WannaCry Ransomware Attack
FINRA President and CEO Robert Cook discusses FINRA360 and Consolidating Enforcement Divisions
SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance / AML Officer
SEC Annual Exam Guidance: Cybersecurity, Robo-Advising, and Retirement
How to prepare for the SEC’s Resource Extraction Disclosure Rule
DOJ’s First Corporate Enforcement Action Under Pilot Program
Enforcement and Prosecution Policy and Trends, Financial Institution Regulation, Securities and Commodities
A Circuit Split is Born. Eleventh Circuit Rules Declaratory Relief and Disgorgement Sought by the SEC Are Subject to 5-Year Statute of Limitations. Injunctive Relief is Not.
The SDNY Provides Guidance on a Company’s Duty to Disclose Government Investigations
Election and Political Law, Enforcement and Prosecution Policy and Trends, Fraud, Deception and False Claims, Securities and Commodities