Louis Greenstein

Louis Greenstein

McGuireWoods LLP

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FY2015 SEC Enforcement Report

Late last week, the Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2015, reporting a record number of enforcement actions and the highest amount of fines collected by the SEC to...more

10/29/2015 - Broker-Dealer Credit Rating Agencies Enforcement Actions Enforcement Statistics FCPA High Frequency Trading Mary Jo White Municipal Bonds Retaliation SEC Underwriting Whistleblower Protection Policies

SEC Proposes to Amend Rules Governing Administrative Proceedings

On September 24, 2015, the Securities and Exchange Commission (SEC) issued a press release announcing proposed amendments to its Rules of Practice governing administrative proceedings. The announcement comes at a critical...more

9/28/2015 - Administrative Hearings Administrative Proceedings Amended Regulation Appointments Clause Dodd-Frank Enforcement Actions SEC Securities Litigation Transparency

SEC’s OCIE Issues a Second Cybersecurity Risk Alert

On Sept. 15, 2015, the Securities Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) published its second cybersecurity risk alert (the “2015 Risk Alert”). The 2015 Risk Alert is a follow up to...more

9/23/2015 - Broker-Dealer Cybersecurity Industry Examinations Investment Adviser NIST OCIE Risk Alert SEC

How Does Your Firm Compare? Results from the SEC’s Cybersecurity Examinations

On Feb. 3, 2015, the Securities and Exchange Commission (SEC) published a Risk Alert summarizing observations gleaned from a cybersecurity examination sweep of 57 registered broker-dealers (BDs) and 49 registered investment...more

2/13/2015 - Broker-Dealer Cybersecurity FFIEC Investment Adviser NIST Risk Alert SEC

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