Agency
Commission
9 published works
SEC Actions
New Enforcement Director Appointed
The Commission has appointed Judge Margaret Ryan as the next Director of the Division of Enforcement. Judge Ryan brings a variety of experience to the position. The Judge received her…
SEC Actions
Swift, Wrongful Action – the Predicate for an Enforcement Action
Many Commission enforcement actions take a considerable period of time to unfold. It is not infrequent for the underlying facts to develop over long periods of time. That period is…
2Civility Blog
Q&A With Sunga Mkwezalamba, President of the Black Men Lawyers’ Association
Each year, Black History Month recognizes the contributions, sacrifices, and legacy of Black Americans who have shaped the culture of the United States. During February and throughout the year, the…
2Civility Blog
4 Professionalism Goals the Commission Staff is Focusing On This Year
By 2Civility
Late last year, our Digital and Social Media Manager Marin McCall asked members of the Commission’s staff to share one professionalism-related goal they are concentrating on in 2025. While the…
2Civility Blog
Lawyers, Don’t Miss Your Deadline to Have Fun This Summer
As lawyers, we live by deadlines and an important summer deadline is quickly approaching. Before panic sets in, take a deep breath. This is a positive deadline. Summer is not…
Banking, Finance and Securities
Commission Delegated Regulation amending the RTS laid down in Delegated Regulation (EU) 2018/1229 as regards the penalty mechanism for settlement fails relating to cleared transactions submitted by CCPs for settlement
On 11 August 2023, there was published in the Official Journal of the EU, Commission Delegated Regulation (EU) 2023/1626 of 19 April 2023 on amending the regulatory technical standards laid…
SEC Actions
The Collapse of a Huge Family Office
A family office is not typically at the middle of what the Commission alleges was a $36 billion house of cards. Family offices are by definition funds that manage of…
Canadian Lawyer Mag
N.B. Court affirms exclusive jurisdiction of Commission in authorizing medical marijuana use
Court found that the tribunal’s exercise of discretion interfered with the Commission's jurisdiction
Legal Profession Blog
The Bar Sometimes Rings Twice
The Mississippi Supreme Court imposed reciprocal disbarment based on a Louisiana order sanctioning an attorney for misconduct as both a judge and lawyer.The Supreme Court of Louisiana, which has exclusive…