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ArentFox Schiff

SEC Cracks Down on Unregistered Broker-Dealers

ArentFox Schiff on

StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission (SEC) following SEC enforcement actions against them....more

Pillsbury - Internet & Social Media Law Blog

First-of-Its-Kind Settlement Brings Clarity for Players in Retail Crypto Market

Pillsbury - Internet & Social Media Law Blog on

On February 14, the Securities and Exchange Commission (SEC) announced that it had entered into a settlement with BlockFi Lending LLC, a subsidiary of BlockFi Inc., (collectively BlockFi) over first-of-its-kind charges that...more

A&O Shearman

In Significant Shift, SEC Will Consider Offers Of Settlement And Collateral Waiver Applications Together

A&O Shearman on

On July 3, 2019, Chairman Jay Clayton of the Securities and Exchange Commission (“SEC”) issued a Statement Regarding Offers of Settlement (the “Public Statement”) to announce a significant shift in the SEC’s process of...more

King & Spalding

SEC Enforcement Against Private Equity Firms - A Focus on Disclosure, Fees, and Conflicts of Interest

King & Spalding on

The Securities and Exchange Commission announced two settled enforcement actions against private equity fund advisers last week involving certain fee practices and potential conflicts of interest. Consistent with its...more

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