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Unfair or Deceptive Trade Practices Securities Regulation

Ropes & Gray LLP

Meme Coins: SEC Staff Says “This is fine”*

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The SEC’s Division of Corporation Finance issued a statement on February 27, 2025 to clarify the application of federal securities laws to "meme coins," a type of crypto asset inspired by internet memes, characters, current...more

Cozen O'Connor

Edward Jones Settles Multistate Investigation into Commissions and Supervisory Procedures

Cozen O'Connor on

New Jersey AG Matthew Platkin has settled with Edward D. Jones & Co., L.P., as part of a multistate investigation that included 14 states and the North American Securities Administrators Association, over allegations that the...more

Troutman Pepper Locke

Troutman Pepper Weekly Consumer Financial Services Newsletter - November 2024

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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

Stinson LLP

SEC Proposes New ESG Disclosures and Naming Rules for Investment Advisers and Funds

Stinson LLP on

On May 25, 2022, the Securities and Exchange Commission (SEC) approved proposals to the “Names Rule” (Rule 35d-1) under the Investment Company Act of 1940 (1940 Act), hereinafter referred to as Proposal One, and to the rules...more

Goodwin

OCC Delays Publication Of Trump Administration “Fair Access” Rule

Goodwin on

In this Issue. The Office of the Comptroller of the Currency (OCC) delayed publication of the “fair access” rule finalized late in the Trump Administration; the OCC also announced the availability of the 2021 list of bank...more

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