The SEC’s Division of Examinations (the “Division” or “EXAMS”) recently published its annual examination priorities for 2023. The Examination Priorities memorandum sets out key areas the staff will focus on during its...more
Over a two week period at the end of January and beginning of February, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) proposed new rules and rule amendments that presage sweeping regulatory and...more
SEC Chair Gary Gensler has consistently underscored that crypto assets are among the key capital market trends to which the SEC will devote its resources in 2022. Despite the SEC’s articulated focus on crypto assets,...more
The Securities and Exchange Commission (“SEC”)’s Regulation Best Interest (“Reg BI”) imposes a heightened best interest standard on broker-dealers when recommending securities transactions or investment strategies. ...more
Less than 10 months since inauguration day, the Biden Administration’s civil and criminal enforcement arms are signaling a more aggressive stance, looking squarely at corporate America. Recent speeches from senior officials...more