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Banking & Financial Services E-Note - December 2017

As the SEC’s cyber unit files its first complaint against an Initial Coin Offering ("ICO"), Birmingham Associate Fob James examines the future of ICOs on our Securities Litigation Blog. Please see full E-Note below for...more

The SEC’s Cyber Unit Files Its First Complaint Against an “Initial Coin Offering”

Implemented in September, the Securities Exchange Commission’s (“SEC”) Cyber Unit has brought its first enforcement action against an “Initial Coin Offering” (“ICO”) called PlexCoin. ICOs, which are listed on digital...more

SEC’s Chairman Makes Changes After the Agency’s Latest Cyber-Attack

The Securities Exchange Commission (“SEC”) has been busy the last couple months on the cyber front. On September 20, the SEC announced a renewed focus on cybersecurity efforts and disclosed that it had been a victim of a...more

SEC’s Cybersecurity Risk Alert Reflects Advisory Firms are Gambling with Your Data

In August 2017, the SEC’s Office of Compliance Inspections and Examinations issued a Cybersecurity risk alert directed at financial advisory firms. As part of the SEC’s 2014 Cybersecurity Initiative, seventy-five firms,...more

Court Says Canada’s Attempt to Create a National Securities Regulation Scheme is Unconstitutional…Again

The Quebec Court of Appeals recently held in an advisory opinion that Canada’s attempt to create a national securities regulation scheme with the voluntary participation of the provinces is unconstitutional. Canada’s...more

SCOTUS to Hear Another Securities Case

On April 18, the SCOTUS heard oral argument in Kokesh v. Securities and Exchange Commission, an action concerning whether the five year statute of limitations of 28 U.S.C Section 2462 applies to disgorgement. This was the...more

The Only Color in Gambling is Green—Why Staking is a Security

The Securities Act of 1933’s catchall for defining a security is the “investment contract.” The landmark case, SEC v Howey, explained that “an investment contract for the purposes of the Securities Act means a contract,...more

RIP “Gifts” in Insider Trading?

On October 5, 2016, the Supreme Court in Salman v. United States will hear oral argument on its first insider trading case in nearly 20 years. At issue is whether a tipper must receive a pecuniary benefit for a tipper and...more

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