Registered entities continued to be a significant focus of the US Securities and Exchange Commission’s (SEC’s or Commission’s) enforcement and rulemaking programs in 2022, and we expect similar attention this year. The SEC’s...more
3/2/2023
/ Administrative Law Judge (ALJ) ,
Broker-Dealer ,
CFTC ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies
January 2017 -
The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives markets. This focus has coincided with the advent of new and...more
1/5/2017
/ Block Trades ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Confidential Information ,
EFRP ,
Illegal Tipping ,
Insider Trading ,
NFA ,
Personal Benefit ,
Private Equity Firms ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Swap Execution Facilities ,
Tippees ,
Tippers ,
UK ,
US v Newman ,
US v Salman