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Ripple Case Reaches Final Judgment as Digital Assets Law Continues to Evolve

On Aug. 7, the U.S. District Court for the Southern District of New York issued its judgment in U.S. Securities and Exchange Commission v. Ripple Labs, Inc., marking the end of district court- level proceedings in the highly...more

SEC Doubles Down on Crypto Enforcement

In a speech before the Aspen Security Forum on August 3, 2021, Securities and Exchange Commission (“SEC” or “Commission”) Chair Gary Gensler urged lawmakers to provide him with the power to police cryptocurrency trading,...more

Telegram: Deconstructing One of the Biggest Blockchain Cases of 2020

The Telegram case is arguably the most important case of 2020 involving the legal classification of blockchain-based digital assets. Because it is often cost-prohibitive for companies to challenge the government in court, the...more

New York Brings Long-Awaited Cybersecurity Message Case

Ever since the New York State Department of Financial Services (DFS) instituted its first-in-the-nation Cybersecurity Regulation in 2017, banks, insurance companies, and others in the financial services industry wondered what...more

SEC Updates Data Privacy and Cybersecurity Guidance for Registered Firms

On April 16, 2019, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a risk alert, “Investment Adviser and Broker-Dealer Compliance Issues Relating to...more

Beware the Ides of March – Is Your NYDFS Cybersecurity Compliance in Order?

March is now here and with it the Cybersecurity Regulation of the New York Department of Financial Services (NYDFS) is now in full force and effect, including requirements relating to Third Party Service Providers (e.g.,...more

NFA’s Amended Cybersecurity Guidance Includes New Incident Reporting Requirement

Following other regulators, the National Futures Association (NFA) recently amended its cybersecurity guidance to, among other things, impose a new cybersecurity incident reporting requirement on members....more

Blockchain Developments: Food Supply Chain, Bitcoin ETPs, ICOs and Tech Adoption

Multiple Pilots Drive Momentum for Leveraging Blockchain in the Food Supply Chain - A major global technology company recently shared additional details about the Food Trust, a consortium consisting of 10 of the world’s...more

The SEC and Securities Plaintiffs' Bar Take Aim at Initial Coin Offerings

These days it seems that everybody is considering getting into the distributed ledger technology business causing the United States Securities and Exchange Commission (“SEC”) and the securities plaintiffs’ bar to take notice....more

Supreme Court's Upcoming Whistleblower Decision May Dramatically Impact Compliance Programs

On November 28, 2017, the United States Supreme Court heard oral argument on whether whistleblowers are entitled to protection from retaliation under Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection...more

SEC Cybersecurity Risk Alert Emphasizes Proactive Compliance and Ongoing Vigilance

On August 7, 2017, the Securities and Exchange Commission (SEC) released its latest cybersecurity risk alert, detailing findings from the examination of 75 broker-dealers, investment advisers and investment companies carried...more

New York DFS Updates FAQs to Clarify Applicability of Cybersecurity Regulation

With the first compliance deadline now less than two months away, the New York Department of Financial Services (NYDFS) has provided additional clarity concerning its new Cybersecurity Requirements for Financial Services...more

Substantial Risk of Harm in Data Breach Class Actions Ripe for Supreme Court Review

Early in May, the U.S. Court of Appeals for the Second Circuit in Whalen v. Michaels Stores, Inc., No. 16-260 (L) (2d Cir. May 2, 2017), affirmed the dismissal of a data breach class action brought against Michaels Stores...more

Colorado Proposes Cybersecurity Requirements for Investment Advisers and Broker-Dealers

On March 27, 2017, the Colorado Department of Regulatory Agencies proposed changes to the Colorado Securities Act that would impose new cybersecurity requirements on investment advisers and broker-dealers (the “Proposed...more

Finalized New York Department of Financial Services Cybersecurity Regulation to Take Effect March 1

On February 16, 2017, the New York Department of Financial Services (NYDFS) announced the release of its finalized Cybersecurity Requirements for Financial Services Companies (“Cybersecurity Regulation”), which will take...more

Top 10 SEC Enforcement Highlights of 2016

This is the third year we are providing our annual Top Ten list of Enforcement Highlights. This time, it occurs towards the end of the tenure of SEC Chair Mary Jo White. Sullivan & Cromwell corporate securities and capital...more

2016 Mid-Year Securities Litigation and Enforcement Highlights

Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters...more

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