The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement and examination developments, and summarizes...more
3/2/2021
/ Biden Administration ,
BSA/AML ,
Disgorgement ,
Enforcement Actions ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Swaps ,
TRACE ,
Whistleblowers
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
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 expanded reporting,...more
8/18/2016
/ Algorithmic Trading ,
BATS Exchange ,
Class Action ,
Criminal Prosecution ,
Dark Pool ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
First Derivative Traders ,
ISDA ,
ISDAfix ,
Market Manipulation ,
Nasdaq ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Spoofing