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SEC Chair Continues Push to Regulate Digital Asset Markets

At a speech to the University of Pennsylvania Law School’s Capital Markets Association on April 4, 2022, SEC Chair Gary Gensler took the opportunity to again promote his strong desire to add greater...

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SEC Seeks to Expand ‘Dealer’ or ‘Government Securities Dealer’ Definition to...

On March 28, 2022, the Securities Exchange Commission (SEC) issued a press release regarding two proposed rules, Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 (the Act). These...

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Danske Bank Pleads Guilty, Agrees to Pay More Than $2 Billion in Coordinated...

On Dec. 13, 2022, the Department of Justice announced that Danish global financial institution Danske A/S (Danske Bank) pled guilty and agreed to forfeit $2 billion to resolve an investigation into...

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FINRA Files Amendments to Proposed Rule Change That Will Allow Remote...

Last summer, the Financial Regulatory Authority (FINRA) proposed a rule change to its supervision rule (FINRA Rule 3110) to allow member firms to conduct remote inspections of some or all branch...

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SEC Proposes to Establish a New Best Execution Standard

On Dec. 14, 2022, Gary Gensler, Chair of the U.S. Securities and Exchange Commission (SEC), released a statement announcing a proposal to establish an SEC rule setting forth a best execution standard...

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SEC Announces 2023 Examination Priorities

On Feb. 7, 2023, the Securities and Exchange Commission’s Division of Examinations announced its 2023 examination priorities. The announcement focuses on six different categories. Continue reading the...

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CFPB And FTC Take Their Place As Powerful Crypto Cops

Crypto-asset businesses, particularly those offering crypto lending, non-fungible tokens, or digital wallet/payments products — which are already facing intense scrutiny from the SEC, CFTC, U.S....

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Are Syndicated Term Loans Securities Under Reves v. Ernst & Young? 2nd...

The U.S. Court of Appeals for the Second Circuit has asked the U.S. Securities and Exchange Commission (SEC) to share its views on the issue of whether syndicated term loans are securities for purposes...

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FINRA Approves Prometheum Ember Capital LLC to Operate as Special Purpose...

On May 17, 2023, Prometheum Ember Capital LLC (Prometheum Ember Capital), a subsidiary of Prometheum Inc., received approval from the Financial Industry Regulatory Authority (FINRA) to operate as a...

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SEC Risk Alert to Investment Advisers: Assessing Risks, Scoping Examinations,...

On Sept. 6, 2023, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert detailing the Division’s examination selection process for SEC-registered investment advisers...

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