News & Analysis as of June 2, 2025

Cybersecurity › Retail Investors

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

SEC Speaks 2025: Key Takeaways from Division of Enforcement Panels

Ropes & Gray LLP on 5/27/2025

The SEC’s Division of Enforcement intends to remain a “cop on the beat,” and will refocus on traditional core enforcement areas, such as insider trading, accounting and disclosure fraud, market manipulation, and breaches of...more

SEC's New Cyber and Emerging Technologies Unit to Replace Crypto Unit and Focus on Fraud, AI, Social Media, and Hacking in...

Venable LLP on 3/14/2025

Recently, the Securities and Exchange Commission announced the creation of a Cyber and Emerging Technologies Unit (CETU), a group of 30 fraud specialists and attorneys spread across the SEC's offices around the country to...more

SEC Announces New “Cyber and Emerging Technologies Unit” and Signals Return to First Trump Administration Fraud- and...

WilmerHale on 3/6/2025

On February 20, 2025, the Securities and Exchange Commission (SEC) announced the creation of a new specialized unit, the Cyber and Emerging Technologies Unit, to “focus on combatting cyber-related misconduct and to protect...more

SEC Launches Cyber and Emerging Technologies Unit Aimed at Safeguarding Investors

Latham & Watkins LLP on 2/24/2025

The new unit aims to protect retail investors and foster innovation by addressing cyber-related misconduct and emerging technology fraud....more

SEC Enforcement Tea Leaves: Expected Priorities in the Second Trump Administration

BCLP on 12/3/2024

How will President-elect Trump’s reelection impact the SEC’s enforcement priorities? We looked for clues from the first Trump Administration’s Enforcement program, and also from the agency’s current Republican Commissioners....more

NYDFS Issues Updated And Stricter Virtual Currency Listing Guidance – New Policy Updates Due For Approval By January 31, 2024

K2 Integrity on 11/21/2023

Following a two-month public consultation period, on 15 November 2023 the New York State Department of Financial Services (NYDFS) published its new Virtual Currency Listing Guidance (the Guidance), in accordance with virtual...more

Regulatory Update and Recent SEC Actions - April 2023

Blank Rome LLP on 4/17/2023

REGULATORY UPDATES - Recent SEC Leadership Changes - On January 10, 2023, the Securities and Exchange Commission (the “SEC”) announced the appointment of Cristina Martin Firvida as director of the Office of the Investor...more

FINRA Releases 2023 Report on Its Examination and Risk Monitoring Program

Mayer Brown Free Writings + Perspectives on 1/11/2023

On January 10, 2023, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (the “Report), available at: 2023 Report on FINRA’s Examination and...more

SEC Proposes Amendments to Best-Execution Rule

Seward & Kissel LLP on 12/16/2022

Yesterday, SEC Chair Gary Gensler announced proposed amendments to Rule 605 of Regulation NMS to modernize and expand disclosure requirements related to order execution quality. Chair Gensler stated that he was “pleased to...more

Client Alert: Proposed SEC Rules for Investment Advisers and Regulated Funds, and New FTC Safeguard Rule Applicable to Private...

Katten Muchin Rosenman LLP on 3/4/2022

On February 9, 2022, the Securities and Exchange Commission (SEC) voted to propose new rule 206(4)-9 under the Investment Advisers Act of 1940 (Advisers Act) and 38a-2 under the Investment Company Act of 1940 (collectively...more

New Emphasis in SEC 2021 Examination Priorities

Burr & Forman on 3/5/2021

The U.S. Securities and Exchange Commission (“SEC”) released its 2021 Examination Priorities on March 3. The Examinations group – elevated last December to Division status (formerly the Office of Compliance Investigations...more

2020 Investment Adviser Update—There’s a “Voice Inside Your Head You Refuse to Hear” (But You Should)

Robinson & Cole LLP on 4/7/2020

The rules and regulations governing private equity and hedge fund advisers continue to develop in response to changes in technology. As a result, advisers are subject to an ever-increasing degree of supervision by the...more

OCIE Publishes Its 2020 Examination Priorities

Jones Day on 1/27/2020

The Situation: The U.S. Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") issued its 2020 examination priorities ("Exam Priorities"). The Result: The Exam Priorities...more

Among an Array of 2020 Examination Priorities, SEC Signals Continued Interest in Cryptocurrency

Proskauer - Blockchain and the Law on 1/16/2020

On January 7, 2020, the Securities and Exchange Commission (“SEC”)’s Office of Compliance Inspections and Examinations (OCIE) released its 2020 examination priorities. The majority of OCIE’s priorities for the coming year...more

SEC Examination Priorities for 2020 Include Both Emerging and Existing Concerns for Registered Investment Advisers and...

King & Spalding on 1/16/2020

On January 7, 2020, the Securities and Exchange Commission (“SEC”) issued its 2020 Examination Priorities, a yearly publication highlighting new and existing areas of focus for the Office of Compliance Inspections and...more

SEC Exam Priorities For RIAs and ICs

Dorsey & Whitney LLP on 1/15/2020

The Exam Priorities of the SEC’s Office of Inspections and Compliance or OCIE, announced on January 7, 2020 (the “Exam Priorities”), should be a key area of focus for every investment advisor and investment company. The Exam...more

FinTech Should Expect Some SEC Scrutiny in 2020

Harris Beach Murtha PLLC on 1/14/2020

On January 7, the SEC’s Office of Compliance, Inspection and Examination (OCIE) issued its annual list of examination priorities for 2020. Among the items identified was a focus on “FinTech”, a broad category of activities...more

SEC Office of Compliance Inspections and Examinations Issues 2020 Examination Priorities

Foley Hoag LLP on 1/13/2020

On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its annual examination priorities for the coming year (2020 Priorities). The 2020 Priorities are important for regulated entities,...more

“The Opinions Offered Today Are Mine Alone And Do Not Represent The Commission” — A Summary Of Recent Remarks From SEC And CFTC...

UB Greensfelder LLP on 9/30/2019

Anyone who has sat through a talk by financial regulators is undoubtedly familiar with the refrain from the individuals that they do not speak for the Commission and that the opinions offered are their own. Even with that...more

Federal Securities Litigation and Regulation: A Periodic Review and Predictions for the Remainder of 2019

Cadwalader, Wickersham & Taft LLP on 5/13/2019

While the past year, or even eighteen months, was short on landmark federal securities law decisions, there was significant activity on the part of private securities litigants. In 2018, plaintiffs filed 403 new federal...more

Private Funds Litigation/Regulatory Year in Review and 2019 Outlook

Pillsbury Winthrop Shaw Pittman LLP on 3/6/2019

Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention on investment advisers. The SEC will maintain its...more

Investment Management Update

Ballard Spahr LLP on 2/15/2019

The Securities and Exchange Commission (SEC) has proposed a new rule and related amendments designed to streamline and enhance the regulatory framework for "fund of funds" arrangements....more

OCIE Releases 2019 Examination Priorities

Kramer Levin Naftalis & Frankel LLP on 2/1/2019

The SEC’s Office of Compliance Inspections and Examinations (OCIE) released its examination priorities for 2019 in order to promote the transparency of its investigation program....more

FINRA Issues 2019 Annual Risk Monitoring and Examination Priorities Letter, Highlighting Potential Areas Of Enforcement Risk

A&O Shearman on 1/30/2019

On January 22, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued its annual letter describing its current risk monitoring and examination priorities. See FINRA, Risk Monitoring and Examination Priorities...more

SEC Office of Compliance Inspections and Examinations Release National Exam Program Examination Priorities for 2019

Troutman Pepper Locke on 1/30/2019

On December 20, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) issued its 2019 examination priorities letter. OCIE releases examination priorities...more

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Cybersecurity › Retail Investors

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