Regina LaMonica

Regina LaMonica

Perkins Coie

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CFTC Proposes Rules to Align with SEC Whistleblower Program

The U.S. Commodity Futures Trading Commission (CFTC) proposed amendments last month to the regulations governing its whistleblower bounty program. A number of the changes are aimed at more closely aligning the CFTC’s...more

9/14/2016 - BlueLinx Holdings CEA CFTC Comment Period Commodities Confidentiality Agreements Dodd-Frank Financial Markets Financial Sector Health Net KBR (formerly Kellogg Brown & Root) Popular Rule 21F SEC Securities Violations Whistleblowers

SEC Speaks 2016: Enforcement Agenda Goes Beyond Disclosure

At the annual “SEC Speaks” conference held February 19-20, 2016, in Washington, D.C., the U.S. Securities and Exchange Commission’s senior leadership reviewed the agency’s efforts and priorities in 2015 and previewed upcoming...more

2/23/2016 - Broker-Dealer Discovery Enforcement Actions FCPA Forum Selection Insider Trading Popular SEC Whistleblowers

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

2/25/2013 - CFTC Citigroup Crowdfunding Dodd-Frank Enforcement FINRA FSOC Funding Portal Insider Trading Investor Protection JOBS Act Mary Jo White SEC Whistleblowers

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