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Holland & Knight LLP

Safer Federal Workforce Task Force Issues Updated FAQs on COVID-19 Vaccine Mandate

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The Safer Federal Workforce Task Force released updated Frequently Asked Questions (FAQs) for Federal Contractors on Nov. 1, 2021, regarding its COVID-19 Workplace Safety: Guidance for Federal Contractors and Subcontractors...more

Morrison & Foerster LLP

Paying for Playing: SEC Brings First Pay-to-Play Action against an Investment Adviser

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The SEC has brought the first action under the “pay-to-play” rule adopted under the Investment Advisers Act. Andrew Ceresney, director of the SEC Enforcement Division, served notice that the SEC “will hold investment advisers...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

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As reported in the May 2014 edition of Legal News: Investment Management Update, the SEC has made cybersecurity readiness a high-priority item to review when it conducts examinations of registered broker-dealers and...more

Dechert LLP

SEC Brings Settled Administrative Proceedings Against NYSE Relating to Informational Advantages, Electronic Trading and Other...

Dechert LLP on

The Securities and Exchange Commission (SEC or Commission) on May 1, 2014 announced a settlement (Settlement) with the New York Stock Exchange LLC and certain of its affiliates (collectively, the NYSE), addressing a variety...more

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