News & Analysis as of

Spoofing

The SEC Sends a Stern Reminder That It Is Serious About Punishing “Spoofing” and “Layering” Schemes in the Securities Markets

by K&L Gates LLP on

On March 10, 2017, the U.S. Securities and Exchange Commission (“SEC”) filed a civil complaint in the U.S. District Court for the Southern District of New York alleging that a Ukraine-based trading firm committed securities...more

Hackers, Keep Out!

by McManis Faulkner on

Hackers are getting more sophisticated each day. It is our job to try and stay a step ahead of them. There is always someone on the outside trying to get in. It is imperative to keep your data secure within your business...more

Bridging the Week - April 2017 #3

Employees Criminally Charged With Theft of Trade Secrets From Two Financial Services Trading Firms: One former employee of Susquehanna International Group LP (“SIG”) and another from KCG Holdings, Inc. were criminally charged...more

Defending Against Social Engineering Attacks

by Fisher Phillips on

The term “social engineering” used to conjure up images of social scientists with Ph.D’s brainstorming ways to improve race relations or provide lower income groups with greater access to education and employment...more

What’s New in Washington: 10 Things You Need to Know

Congress entered into its spring recess on April 7 having delivered regulatory reforms to President Trump’s desk. In the first 75 days of the Trump administration, legislators approved 13 Congressional Review Act resolutions,...more

Bridging the Week - April 2017

Price Protection Is Price Protection Is Price Protection – Unless It’s FCM Activity Says CFTC: Davisco Foods International, Inc., an international cheese and food ingredient company headquartered in Le Sueur, Minnesota,...more

FCC Proposes Rules to Allow Carriers to Block Illegal “Robocalls”

by Davis Wright Tremaine LLP on

The Federal Communications Commission has issued a notice of proposed rulemaking (“NPRM”) and Notice of Inquiry (“NOI”) opening a new docket, Advanced Methods to Target and Eliminate Unlawful Robocalls, which proposes rules...more

Bridging the Week - March 2017 #4

Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements: Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Commission brought two insider trading cases this week, one which is being litigated and another that settled prior to filing. The agency also brought a financial fraud action against five firm executives who essentially...more

Acting (and Potentially Permanent) CFTC Chairman Warns of “Aggressive and Assertive Enforcement Action by the CFTC Under the Trump...

In remarks before the International Futures Industry Conference, Acting Chairman J. Christopher Giancarlo—who was just nominated by President Trump to be permanent Chairman—talked about the future of the Commodity Futures...more

SEC Charges Trader, Broker In Spoofing – Cross-Market Manipulation

by Dorsey & Whitney LLP on

The Commission’s latest market manipulation action centers on a foreign trading firm with an undisclosed owner and a U.S. broker-dealer where the undisclosed owner was imbedded as a registered representative, facilitating the...more

TCPA Lawyers Take Note: New Proposed Caller ID Rules

by Klein Moynihan Turco LLP on

The Federal Communications Commission (“FCC”) recently issued a Notice of Proposed Rulemaking and Notice of Inquiry involving the Telephone Consumer Protection Act (“TCPA”). The proposed rules would institute new caller ID...more

DHS Hosts Testing Events For GPS Manufacturers To Mitigate Spoofing Risks

by King & Spalding on

The Department of Homeland Security (“DHS”) is hosting a series of test opportunities for manufacturers of Global Positioning System (“GPS”) receivers and components used in critical infrastructure to test their equipment...more

Bridging the Week - March 2017

Non-Member Sanctioned by NYMEX Business Conduct Committee for Non-Bona Fide EFRPs; Can’t Shift Blame to Broker or FCM Despite Try: Bunkerbridge PTE Ltd, a non-member of the New York Mercantile Exchange, was fined US $30,000...more

2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

by Morgan Lewis on

Executive Summary - The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and...more

IRS Issues Warning About W-2 Cyber-Scams, Especially for Schools, Nonprofits and Tribal Organizations

by Jackson Lewis P.C. on

On February 2, 2017, the IRS issued a warning to all employers regarding the resurgence of a W-2 based cyber scam. The scam, which targets the corporate world during tax season, is currently “spreading to other sectors,...more

IRS Warns Schools of Targeted W-2 Phishing Scams

by Shipman & Goodwin LLP on

Originally published in the IRS EO Update: e-News for Charities & Nonprofits newsletter - February 3, 2017. The Internal Revenue Service, state tax agencies and the tax industry issued an urgent alert today to all...more

FCC Enforcement Monitor ~ January 2017

Pillsbury’s communications lawyers have published FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement actions against FCC license holders and others. This month’s issue...more

IRS and Others Renew Warnings About Fraudulent Emails Targeting Employee Tax Information

by Ballard Spahr LLP on

With tax season in full swing, the Internal Revenue Service (IRS), state tax agencies, and tax industry groups recently renewed a warning about Form W-2 email spear-phishing scams. ...more

ML Strategies 2017 Outlook: Telecommunications

Senate Telecom Package - During the last Congress, a telecom package was more the subject of chatter than consideration. Yet this Congress, it already has strong momentum. Senate Commerce Committee Chairman John Thune...more

Privacy Perils: The Numbers (Might) Lie

by Bass, Berry & Sims PLC on

As if there weren't enough concerns over the security of your banking and credit card accounts – thefts of card numbers, card skimmers and online account hacking, to name a few....more

2016 CFTC Year-in-Review and a Look Forward

by WilmerHale on

In 2016, the Commodity Futures Trading Commission (CFTC or Commission) continued to pursue high-profile enforcement cases and to test its new enforcement authority under the Dodd-Frank Wall Street Reform and Consumer...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

We learned about Navient and its allegedly trouble-filled student-loan servicing practices yesterday. Turns out the issues are not only long-standing, but they bear similarities to the mortgage-lending issues that were at...more

FINRA’s 2017 Regulatory & Exam Priorities

by Burr & Forman on

On January 4, new President and CEO Richard Cook issued FINRA’s Annual Regulatory and Examination Priorities Letter. This year’s list in summary is: New for 2017: Targeted electronic off-site reviews “on select...more

Trading and Markets Enforcement Report - January 2017

by Morgan Lewis on

January 2017 - The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives markets. This focus has coincided with the advent of new and...more

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Cybersecurity

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