Topic
Enforcement
987 published works
Corporate & Financial Weekly Digest
Nasdaq Proposes Rule Change to SEC to Assume Operational Responsibility for Certain Investigation and Enforcement Functions Currently Performed by FINRA
By Michael T. Foley, Susan Light, Leonard Licht
On April 3, the Securities and Exchange Commission published a notice to solicit comments on Amendment No. 2 to a proposed rule change filed by the Nasdaq Stock Market LLC,…
Cleary Antitrust Watch
Enforcement by Numbers
As the charts below show, enforcement by concurrent competition agencies has increased substantially since the ERRA came into force.[1] From 2015 to 2019, sectoral regulators launched 13 new investigations, issued…
Food Safety News
FSIS enforcement from the plant floor to federal criminal courts in 1Q of FY 2019
By Dan Flynn
The felony indictments of Antillio Graniello and Randal Hamby, both associated with Amigos Meat Distributors in Atlanta, topped USDA's enforcement actions this past quarter. Hamby died before the case was…
Financial Services Perspectives
What to Make of the CFPB’s Enforcement Activity under Director Kraninger; Bradley to Hold March 26 Webinar
By Jonathan R. Kolodziej, D. Brian O'Dell
Since Kathleen Kraninger was confirmed as the Director of the Consumer Financial Protection Bureau (CFPB) on December 6, 2018, six enforcement actions have been publicly resolved. Those cases have involved…
WilmerHale Privacy and Cybersecurity Law
FTC Issues 2018 Year in Review
By WilmerHale Privacy and Cybersecurity Lawyers
On Friday, March 15, 2019, the Federal Trade Commission released its Privacy & Data Security Update: 2018, highlighting its privacy and data security enforcement actions and other activities last year. Notable…
Cleary Enforcement Watch
CFTC Enforcement Division Issues New Advisory on Self-Reporting and Cooperation
By Nowell D. Bamberger, Alex Janghorbani, Samantha Del Duca
On March 6, 2019, the U.S. Commodity Futures Trading Commission (“CFTC”) Enforcement Division released an advisory (the “Advisory”) on self-reporting and cooperation for violations of the Commodity Exchange Act (“CEA”)…
Consumer Finance Monitor
FTC sends warning to subpoena and CID recipients
The FTC is cautioning recipients of FTC subpoenas and civil investigative demands (CIDs) that these requests “are legally enforceable demands, and recipients of subpoenas or CIDs need to take their…
The CLS Blue Sky Blog
Debevoise Discusses Third Circuit’s New Limits on FTC Enforcement Powers
On February 25, 2019, the United States Court of Appeals for the Third Circuit upset decades of Federal Trade Commission (FTC) practice by significantly limiting when the FTC can bring…
Privacy Compliance & Data Security
Common Ground in Federal Privacy Law Debate: FTC Should Enforce, Needs More Resources
By Odia Kagan
The Federal Trade Commission should be the primary enforcer of a federal privacy bill and to do so would need a larger budget. That is one point that seemed to…
Broker- Dealer Law Corner
Contrary To What FINRA Believes, Rule 8210 Is Not A Search Warrant
By Alan Wolper, UB Greensfelder
I have been waiting for a while to write about this issue, since it arose in an Enforcement case I handled for a client, and I wanted the matter to…