In a unanimous decision published on June 5, 2024, the US Court of Appeals for the Fifth Circuit vacated the entire set of regulations, including amendments to existing rules (collectively, the Rules), adopted by the US...more
Registered entities continued to be a significant focus of the US Securities and Exchange Commission’s (SEC’s or Commission’s) enforcement and rulemaking programs in 2022, and we expect similar attention this year. The SEC’s...more
3/2/2023
/ Administrative Law Judge (ALJ) ,
Broker-Dealer ,
CFTC ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies
Morgan Lewis’s securities enforcement and investment management teams highlight expected US Securities and Exchange Commission (SEC or Commission) priorities for investment advisers in 2022 and look back at significant SEC...more
The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement and examination developments, and summarizes...more
3/2/2021
/ Biden Administration ,
BSA/AML ,
Disgorgement ,
Enforcement Actions ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Swaps ,
TRACE ,
Whistleblowers
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 and examination developments, and cases...more
8/19/2020
/ American Depository Receipts (ADRs) ,
BSA/AML ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Transactions ,
Investment ,
Investment Adviser ,
Investment Companies ,
Investment Management ,
RMBS ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
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 and examination developments, and cases...more
2/27/2020
/ American Depository Receipts (ADRs) ,
Anti-Money Laundering ,
Broker-Dealer ,
BSA/AML ,
Cooperative Compliance Regime ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Insider Trading ,
Investment ,
Investment Management ,
Money Laundering ,
Municipal Bonds ,
Mutual Funds ,
Regulation SCI ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
UGMA
As Massachusetts steps up to the plate, New Jersey extends comment period and announces public hearing.
Just as the comment period on New Jersey’s fiduciary rule proposal came to a close, Massachusetts Secretary of State...more
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
1/5/2017
/ Block Trades ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Confidential Information ,
EFRP ,
Illegal Tipping ,
Insider Trading ,
NFA ,
Personal Benefit ,
Private Equity Firms ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Swap Execution Facilities ,
Tippees ,
Tippers ,
UK ,
US v Newman ,
US v Salman
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 expanded reporting,...more
8/18/2016
/ Algorithmic Trading ,
BATS Exchange ,
Class Action ,
Criminal Prosecution ,
Dark Pool ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
First Derivative Traders ,
ISDA ,
ISDAfix ,
Market Manipulation ,
Nasdaq ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Spoofing