News & Analysis as of

Securities and Exchange Commission (SEC) New York

Proskauer - Regulatory & Compliance

State Climate Disclosure Bills – A Growing Trend?

With the uncertainty plaguing the ultimate status of the SEC’s climate disclosure rules on the federal level (we reported on the most recent developments in The SEC Votes to “End its Defense” of Climate Change Rules and SEC...more

Morrison & Foerster LLP

Top 10 International Anti-Corruption Developments for September 2024

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Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption law and enforcement developments from the past...more

A&O Shearman

New York Federal Judge Orders $125 Million Penalty Against Digital Asset Infrastructure Company

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On August 7, 2024, a digital asset infrastructure company (the “Company”) was ordered to pay a $125 million civil penalty for its failure to register institutional sales of its XRP token with the Securities and Exchange...more

Hinshaw & Culbertson - Employment Law...

Implications for New York Employers: Sarbanes-Oxley Whistleblower Protections Examined by Second Circuit

On March 1, 2024, the Second Circuit affirmed the judgment of the Southern District of New York in Brian La Belle v. Barclays Capital Inc, No. 23-448 (2d Cir. 2024)....more

Husch Blackwell LLP

NYSE Publishes 2024 Listed Company Compliance Guidance Memo

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On January 31, 2024, the New York Stock Exchange (NYSE) published its 2024 Listed Company Compliance Guidance Memo. The NYSE Memo contains general guidance with important reminders for all NYSE listed companies, along with a...more

Vinson & Elkins LLP

Cyber(in)security: New York Levies Fine for Failure to Implement Written Policies

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On November 27, 2023, the New York State Department of Financial Services (“DFS”) and First American Title Insurance Company (“First American”) entered into a consent order1 that resolved litigation over First American’s...more

Morrison & Foerster LLP

MoFo’s State + Local Government Enforcement Newsletter - October 2023

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Morrison Foerster’s State and Local Government Task Force is pleased to provide our bimonthly newsletter summarizing some of the most important and interesting developments from state attorneys general across the country and...more

White and Williams LLP

Are Syndicated Loans Securities?

The ongoing case of Kirschner v. JP Morgan Chase Bank, N.A., which has traveled through the New York federal court system since 2018, is now before the Second Circuit, who are tasked with deciding the following: are...more

Morgan Lewis

New York Attorney General Proposes Comprehensive and Restrictive Digital Assets Bill

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New York Attorney General Letitia James introduced on May 5, 2023 a proposed bill that, if enacted, would significantly tighten regulation over digital asset market participants and exchanges. While the New York State...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 14

Daniel Davis Shares Views on Digital Asset Regulation During House Subcommittee Hearing - In testimony before the US House of Representatives Subcommittee on Commodity Markets, Digital Assets, and Rural Development, Daniel...more

Skadden, Arps, Slate, Meagher & Flom LLP

NYAG Files Action Against Crypto Trading Platform, Takes Position That ETH Is a Security

On March 9, 2023, the New York State Attorney General’s Office (NYAG) filed a lawsuit charging crypto trading platform KuCoin for “failing to register as a securities and commodities broker-dealer and falsely representing...more

Perkins Coie

New York Cannabis Co. Investor Suit Survives Motion To Dismiss

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The District Court for the Western District of New York denied a motion on January 6, 2023, to dismiss claims alleging that a publicly traded company misled investors regarding an investigation by the U.S. Securities and...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 8

SEC Advertising Rules – Client Resource Center - November 4 was the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule substantially revises decades old...more

Wiley Rein LLP

New York State Department of Financial Services Proposes Updates to Cybersecurity Regulation

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On July 29, 2022, the New York Department of Financial Services (DFS) released Draft Amendments to its Part 500 Cybersecurity Rules. These changes are open for a preliminary public comment until August 18, and then an...more

Harris Beach Murtha PLLC

Crypto Compensation? Bitcoin Bonus? New York State Employers Must Weigh Requests Carefully

If your staff member wants his or her paycheck in cryptocurrency, should you – as an employer keeping up with the times — accommodate the request? You don’t have to work in Silicon Valley or play for the NFL to field this...more

Sheppard Mullin Richter & Hampton LLP

April 2022 Crypto Enforcement Actions And Regulatory Guidance Roundup

In April, we continued to see a steady pace in the seriousness and frequency of crypto enforcement actions by state and federal law enforcement.  (See our March 2022 Crypto Enforcement Actions Roundup blog here where we...more

Foley Hoag LLP - Global Business and Human...

Proposed Legislation in New York Aims to Set New Standards for Worker Rights and Environmental Sustainability in Fashion Industry

On January 7, New York State Senator Alessandra Biaggi (D) and Assemblywoman Anna R. Kelles (D) introduced the Fashion Sustainability Act into the New York State Legislature. If passed and signed into law, the Act would...more

A&O Shearman

All New York County Federal Securities Act Cases Assigned To Justice Andrew Borrok

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On December 30, 2021, the Administrative Judge for the civil branch of the New York Supreme Court, New York County, issued an administrative order concerning actions filed in New York County pursuant to the federal Securities...more

Rivkin Radler LLP

New York Insurance Coverage Law Update - December 2021

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New York Court of Appeals Holds That Disgorgement Payment Under SEC Settlement Not Excluded As A Penalty Imposed By Law- The Securities and Exchange Commission (SEC) alleged that Bear Stearns facilitated late trading and...more

Sheppard Mullin Richter & Hampton LLP

NYAG’s Warning to Crypto Businesses Muddies Regulatory Waters; Compliance Requirements Remain Elusive

New York’s chief law enforcement agency recently squandered an opportunity to bring much needed guidance to the digital assets space. On October 18, 2021, the Office of New York Attorney General, Letitia James (“NYAG”),...more

Wiley Rein LLP

SEC Investigation of Company Not a “Claim” or “Securities Claim”

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Applying New York law, the United States District Court for the Southern District of New York has held that an SEC investigation of the insured company did not constitute a “Securities Claim,” where the term expressly...more

ArentFox Schiff

The End of LIBOR: The Twilight Zone™ Edition

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The United Kingdom’s Financial Conduct Authority announced the future cessation and loss of representativeness of worldwide LIBOR rates. Potential Detrimental Developments - Recent Events - On Friday, March 5,...more

Lowenstein Sandler LLP

New Registration And Examination Requirements For New York Investment Adviser Representatives

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Effective February 1, 2021, amendments to the New York Investment Advisory Act (the “Amendments”) require supervised persons representing certain New York-registered investment advisers, and, to a lesser degree, investment...more

Sheppard Mullin Richter & Hampton LLP

New York Attorney General Sues to Shutter Cryptocurrency Trading Firm Coinseed

The Office of New York State Attorney General Letitia James (“NYAG”) has filed a lawsuit to shut down technology company Coinseed. The state has accused the firm of selling unregistered securities in the form of digital...more

Fox Rothschild LLP

New Reg D Rule 506 Filing Rules For New York

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In December 2020, the New York State Attorney General altered its filing rules to align with those required by the SEC’s requirements for a Regulation D Rule 506 offering. Now, for a Rule 506 offering in New York, the...more

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