News & Analysis as of

Bonds Securities and Exchange Commission (SEC) Securities Regulation

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: January 1, 2024

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

Goodwin

Is the SEC Still Considering Fixes to the Bond Markets?

Goodwin on

The SEC has made a concerted effort in recent years to look more closely at the fixed income markets. But under the new leadership of Chairman Gary Gensler, that spotlight seemed to have dimmed—or so some thought....more

Kramer Levin Naftalis & Frankel LLP

SEC Settlement in the Curt Schilling 38 Studios Matter Highlights the Section 17(a)(2) Liability of Initial Purchasers in Rule...

On March 20, 2019, an agreement between Wells Fargo Securities LLC (Wells Fargo) and the Securities and Exchange Commission (SEC) to settle litigation involving failed video game company 38 Studios, LLC, headed by former...more

Kramer Levin Naftalis & Frankel LLP

SEC Shortens Settlement Cycle to T +2

On March 22, the Securities and Exchange Commission (the "SEC") adopted an amendment to Rule 15c6-1 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), to shorten the standard settlement cycle for most...more

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