While sophisticated participants in private markets have historically been seen as capable of bargaining for information or withstanding losses better than mom-and-pop investors, current events signal that the U.S. Securities...more
5/9/2023
/ Best Practices ,
Corporate Governance ,
Data Protection ,
Disclosure Requirements ,
Early Stage Companies ,
Enforcement ,
Entrepreneurs ,
Investment ,
Investors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Startups ,
White Collar Crimes
Asset Seizures and Arrests Mark Recent Federal Virtual Currency Enforcement Actions -
Federal authorities have initiated several recent enforcement actions that are indicative of continuing regulatory changes in the...more
The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more
2/25/2013
/ CFTC ,
Citigroup ,
Crowdfunding ,
Dodd-Frank ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
FSOC ,
Funding Portal ,
Insider Trading ,
Investor Protection ,
JOBS Act ,
Mary Jo White ,
Securities and Exchange Commission (SEC) ,
Whistleblowers