The enforcement results for the first six months of the new administration show that while the Securities and Exchange Commission (“SEC”) has instituted substantially fewer new enforcement actions as compared to the same...more
On June 11, 2025, FINRA proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) (the “Gifts Rule”) that would raise the annual gift limit per recipient to $250 from $100, as well as codifying...more
6/25/2025
/ Broker-Dealer ,
Compliance ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Gifts ,
New Rules ,
Policies and Procedures ,
Proposed Rules ,
Recordkeeping Requirements ,
Regulatory Reform ,
Regulatory Requirements ,
Securities Regulation
On February 27, 2025, the Securities and Exchange Commission’s Division of Corporation Finance (“CorpFin”) issued a Staff Statement announcing its view that meme coin transactions do not involve the offer and sale of...more
3/6/2025
/ Compliance ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
Fraud ,
Howey ,
Investment ,
Market Manipulation ,
Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Token Sales
It happens all the time: a public company employee seeks career advice from a mentor, spouse, or friend with whom they have a longstanding relationship of trust and confidence. It could be part of a regular check-in, or it...more
1/10/2025
/ Civil Monetary Penalty ,
Confidential Information ,
Corporate Governance ,
Enforcement Actions ,
Insider Trading ,
Investors ,
Mergers ,
MNPI ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Securities Violations
On June 27, 2024, the U.S. Supreme Court issued its opinion in Securities and Exchange Commission v. Jarkesy. By a 6-3 vote, the Supreme Court affirmed the Fifth Circuit’s ruling, holding that the Seventh Amendment prohibits...more
7/5/2024
/ Administrative Agencies ,
Administrative Law Judge (ALJ) ,
FDIC ,
Financial Services Industry ,
NCUA ,
OCC ,
PCAOB ,
Regulatory Authority ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Regulation ,
Seventh Amendment