Carl F. Emigholz

ID: 1b834bc1-2619-30fb-68c4

Claimed Record

Organization: Cleary Gottlieb Steen & Hamilton LLP

Professional Bio

Carl F. Emigholz advises major financial institutions and securities market participants on securities and derivatives regulatory and enforcement matters.

SEC Brings First Enforcement Action Against a Digital Assets Trading Platform for Failure to Register as a Securities Exchange

Cleary Enforcement Watch · November 14, 2018

SEC Reforms Regulation ATS to Improve Trading Transparency

Cleary Enforcement Watch · July 27, 2018

OCIE Risk Alert Focuses on “Best Execution” and Investment Advisers

Cleary Enforcement Watch · July 25, 2018

SEC Settles With Private Funds For Rule 204(b)-1 Disclosure Violations

Cleary Enforcement Watch · June 13, 2018

SEC Proposes New Best Interest Standard for Broker-Dealers and “Clarification” of Existing Fiduciary Standard for Investment Advisers

Cleary Enforcement Watch · May 2, 2018

Practice Areas

Business and Commercial

Criminal

Jurisdictions

North America

United States