On May 3, 2023, New York Attorney General Letitia James introduced legislation that, if passed, would substantially increase oversight and regulation of the cryptocurrency industry in New York. James touts the bill as the...more
On July 18, 2018, the SEC ramped up its oversight of alternative trading systems (“ATSs”) by adopting a series of rule amendments imposing public disclosure requirements on ATSs that trade NMS (“National Market System”)...more
9/27/2018
/ Alternative Trading System (ATS) ,
Amended Rules ,
Broker-Dealer ,
Confidential Information ,
Data Protection ,
Disclosure Requirements ,
Exemptions ,
Investors ,
National Market System (NMS) ,
Notice of Final Rulemaking ,
Public Disclosure ,
Registration ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Exchanges ,
Securities Transactions ,
Stocks ,
Trading Platforms
On April 10, 2017, Neil Gorsuch was sworn in as the Supreme Court’s 113th justice. While his experience on the Tenth Circuit Court of Appeals with cases involving financial regulation may be limited, certain of his decisions...more
4/27/2017
/ Chevron Deference ,
Chevron v NRDC ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Neil Gorsuch ,
Regulatory Oversight ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Statutory Interpretation ,
Unregistered Securities