Andrew Reich

Andrew Reich

BakerHostetler

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2014 Top 10 SEC Enforcement Highlights

Mary Jo White was confirmed in April 2013 as Chair of the Securities and Exchange Commission (the “SEC”), becoming the first former United States Attorney to serve in that role. Given her background, and despite criticism...more

1/19/2015 - Auditors Bitcoin Custody Rule Deloitte Dodd-Frank DOJ Enforcement Actions Ernst & Young Facebook Hedge Funds High Frequency Trading Independence Rules Insider Trading Mary Jo White Regulation S-X SEC Social Media Social Networks Twitter US v Newman Whistleblower Awards Whistleblowers YouTube

Broker-Dealers and Investment Advisers Now Targeted by Both Cyber Intruders and SEC Cybersecurity Examiners

Cybersecurity has increasingly become a critical issue for all types of businesses, few more so than broker-dealers, investment advisers and others in the financial sector. The cyber threat is much broader than customer data...more

5/7/2014 - Audits Broker-Dealer CFTC Cyber Attacks Cybersecurity Enforcement Actions FINRA Investment Adviser NIST OCIE Personally Identifiable Information Regulation S-ID Regulation S-P Risk Assessment SEC Security Audits

D.C. Circuit Court Upholds Dodd-Frank Inspired CFTC Regulations Subjecting Mutual Funds That Invest in Commodities to CFTC...

In 2012, the Commodity Futures Trading Commission (CFTC), in response to Dodd-Frank, adopted new regulations to require mutual funds and other registered investment companies that exceed certain position levels in commodity...more

7/1/2013 - Administrative Procedure Act CEA CFTC CPO Dodd-Frank Investment Companies Mutual Funds Registration SEC

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