News & Analysis as of

Proposed Rules Enforcement Actions Securities Regulation

Morgan Lewis

Securities Enforcement Roundup – June 2025

Morgan Lewis on

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from June 2025. In June 2025: Overall, we continue to see the SEC and other regulators focus on interactions...more

Shumaker, Loop & Kendrick, LLP

Client Alert: The Supreme Court Declines to Address Challenges to FINRA Enforcement Proceedings, and FINRA Proposes Rules to Avoid...

On June 2, 2025, the Supreme Court denied the petition for writ of certiorari filed by Alpine Securities Corporation in Alpine Securities Corp. v. Financial Industry Regulatory Authority. Interestingly, on the same day, the...more

Troutman Pepper Locke

Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – May 2025

Troutman Pepper Locke on

To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week....more

Wilson Sonsini Goodrich & Rosati

Focus on Fintech – Q1 2025

Welcome to Wilson Sonsini’s Focus on Fintech newsletter. This quarterly newsletter provides ongoing analysis and commentary on regulatory developments impacting the fintech industry. In this issue, our attorneys discuss...more

Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - May 2024

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Sullivan & Worcester

2024 Investment Adviser Regulatory and Compliance Annual Letter

Sullivan & Worcester on

In 2024, investment advisers – those registered with the U.S. Securities and Exchange Commission (SEC) and those that file notices as exempt reporting advisers - will continue to feel the impact of the SEC’s recent rule...more

Vinson & Elkins LLP

[Hybrid Event] Navigating the SEC: A 2023 Look Back and Look Forward - August 31st, Houston, TX

Vinson & Elkins LLP on

Sarah Morgan, M&A and Capital Markets partner, and Rebecca Fike, Securities Litigation and Government Investigations partner will give a look back at the first half of 2023 through SEC Enforcement actions, public speeches,...more

Holland & Knight LLP

Cyber Attack Coming? Watch Out for SEC Proposed Rulemaking

Holland & Knight LLP on

Securities Enforcement Defense attorneys Jessica Magee and Scott Mascianica welcome Allworth General Counsel Barry Greenberg to this episode of Coffee & Conversation. Their chat focuses on cybersecurity and proposed...more

Seyfarth Shaw LLP

SEC Commissioner Peirce Proposes Three Year “Safe Harbor” For Tokens

Seyfarth Shaw LLP on

Seyfarth Synopsis: On Thursday, February 6, 2020, SEC Commissioner Hester Peirce proposed rules which, if certain conditions are met, would, for three years, exempt (1) the offer and sale of tokens from most provisions of the...more

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