News & Analysis as of

New York Stock Exchange Financial Industry Regulatory Authority (FINRA) Enforcement Actions

Sheppard Mullin Richter & Hampton LLP

Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud

On November 17, 2022, each of Nasdaq, FINRA and NYSE released Regulatory Alerts highlighting concerns surrounding fraudulent activities in Small-Cap IPOs. Each of these alerts raises similar issues, highlights the importance...more

Katten Muchin Rosenman LLP

Bridging the Week - April 2019 #4

New York regulators continued an aggressive approach against certain entities engaged in virtual currency businesses when the state's Attorney General’s office obtained an ex parte order precluding companies associated with a...more

King & Spalding

Our Modern Markets: SEC Enforcement Focuses On Market Structure In Response To Rapidly-Changing Equity Markets

King & Spalding on

On Monday, November 2, 2015, Andrew Ceresney, Director of the SEC’s Division of Enforcement, gave a speech at the SIFMA Compliance & Legal Society New York Regional Seminar in which he sought to address what he views as the...more

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