Topic
Securities
6,683 published works
RIA Law Journal
SEC Risk Alert Describes How Firms Are Selected For Examination
On September 6th, the U.S. Securities and Exchange Commission issued a Risk Alert, providing investment advisers with information regarding the Division of Examination’s process by which they select advisers for…
Free Writings + Perspectives
SEC Investor Advisory Committee to Meet and Consider Various Private Placement Related Topics
The Securities and Exchange Commission’s Investor Advisory Committee will meet on September 21, 2023 and has announced its agenda for the meeting, which includes consideration of certain matters that are…
SEC Actions
This Week In Securities Litigation (Week of September 18, 2023)
The Commission filed seventeen new cases last week. Those included 9 stemming from a sweep regarding the application of the new Marketing Rule. That Rule focuses on the use of…
The Contingency
Commercial Roundup – September 15, 2023
Here you go--Commercial Roundup for the couple of weeks ending September 14, 2023 Data breach that exposed plaintiff’s personally identifying information to hacker caused “concrete” harm and conferred Article III…
SEC Actions
Crypto Assets Tied to Webcast Show Are Securities
Crypto assets such as bitcoin are purchased and sold each day. The assets are frequently in the form of a coin and may be attached to a blockchain. Over the…
White Collar & Government Enforcement Blog
The SEC’s Sudden Impact on NFTs
By William Kane, William de Sierra-Pambley
On August 28, 2023, the Securities and Exchange Commission (“SEC”) instituted cease-and-desist proceedings under Section 8A of the Securities Act against Impact Theory, a Los Angeles media and entertainment company, alleging that…
Law of The Ledger
SEC Enforcements Against NFTs – Are You Next?
By James Gatto
The SEC has, in rapid fire, announced enforcements against two NFT projects for allegedly violating securities laws. The first action announced August 28, 2023 was against Impact Theory and the second…
The D&O Diary
Regional Bank Hit with Banking Crisis-Related Securities Suit
Earlier this year three large U.S. banks failed in a sequence of events that has been called The Banking Crisis of 2023. While federal regulators acted decisively and forcefully to…
The CLS Blue Sky Blog
SEC Chair Testifies Before U.S. Senate Committee on Banking, Housing, and Urban Affairs
By Gary Gensler
Good morning, Chairman Brown, Ranking Member Scott, and members of the Committee. Thank you for inviting me to testify today. As is customary, I’d like to note that my views…
The Securities Law Blog
SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers
The Securities and Exchange Commission today filed charges against broker-dealer Virtu Americas LLC and its parent company, Virtu Financial Inc. (collectively, Virtu), for making materially false and misleading statements and…