Podcast - Trends Affecting the Grocer and Retail Space
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
States Sue SEC in Ongoing Fight Over Reg BI
SEC Activity with Fixed Income and Credit Funds
Recently, the Securities and Exchange Commission announced the creation of a Cyber and Emerging Technologies Unit (CETU), a group of 30 fraud specialists and attorneys spread across the SEC's offices around the country to...more
The new unit aims to protect retail investors and foster innovation by addressing cyber-related misconduct and emerging technology fraud....more
As might be expected, FINRA appears to be aligning itself with the SEC in its assertion of jurisdiction over investments that may not, at the end of the day, be deemed securities. ...more
Welcome back to another week in the Spotlight. It is truly remarkable to think that it has (already? only?) been one year since the World Health Organization’s declaration of the COVID-19 pandemic, shuttering sports arenas,...more
On January 7, 2020, the Securities and Exchange Commission (“SEC”)’s Office of Compliance Inspections and Examinations (OCIE) released its 2020 examination priorities. The majority of OCIE’s priorities for the coming year...more
On January 7, the SEC’s Office of Compliance, Inspection and Examination (OCIE) issued its annual list of examination priorities for 2020. Among the items identified was a focus on “FinTech”, a broad category of activities...more
U.S. Developments - VanEck and SolidX to Offer Bitcoin ETF to Qualified Institutional Buyers - On September 3, 2019, VanEck Securities Corp. and SolidX Management LLC announced that they are seeking to use Rule 144A of...more
The notoriously close-to-the-vest Amazon revealed for the first time yesterday in a letter to shareholders that its popular Prime program boasts more than 100 million paid members globally....more
The effect of Bitcoin on securities markets and enhanced measures related to retail investors were the focus at the October meeting of the Securities and Exchange Commission’s (SEC) Investor Advisory Committee (Committee)....more
UNITED STATES - Regulatory—Policy, Best Practices, and Standards - United States and China Renew Promise Not to Hack - On October 4, U.S. and Chinese officials agreed to not engage in targeted hacking. Per a...more