Issues

SEC adopts rules to modernize and simplify disclosure

Laura D. Richman; David S. Bakst; Robert F. Gray; Michael L. Hermsen; Anna T. Pinedo; David A. Schuette
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A failure to supervise: the SEC casts a shadow over internal investigations

John P. Nowak; Thomas A. Zaccaro; Katherine K. Solomon
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SEC credits self-reporting and cooperation in not imposing penalty on ICO sponsor

Daniel Hawke
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SEC approves amendments to the NYSE’s substantial stockholder issuance rule and 20 per cent rule for shareholder approval of certain private offerings

Justin Hoffman; Jude Dworaczyk
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2018 SEC enforcement actions reinforce the importance of effective supervision, policies, and procedures for broker-dealers and investment advisers

Alec Koch; Russell G. Ryan; Laura K. Bennett
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SEC issues landmark order rejecting Nasdaq and NYSE Arca market data fee increases

James Brigagliano; W. Hardy Callcott; Michael Warden
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UK Cryptoassets Taskforce publishes its final report

Sam Maxson; Stuart Davis; Rob Moulton
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SEC issues warning to analysts profiting from “short and distort” schemes, opens the door for civil claims

Perrie Michael Weiner; Edward D. Totino; Aaron Goodman
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Virtual currency in sanctioned jurisdictions: stepping outside of SWIFT

Katherine Kirkpatrick; Christine Savage; Russell Johnston; Matthew Hanson
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Lorenzo v. SEC: the supreme court rules on scheme liability under the federal securities laws

Susan Hurd; Mel Gworek; Evan Glustrom
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