News & Analysis as of

Registration Requirement Settlement

BakerHostetler

More Scrutiny of California Data Brokers

BakerHostetler on

As with many other areas of privacy law, it is not surprising that California continues to lead the nation in regulating data brokers – from promulgating new regulations to issuing a cluster of recent settlements. ...more

ArentFox Schiff

SEC Cracks Down on Unregistered Broker-Dealers

ArentFox Schiff on

StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission (SEC) following SEC enforcement actions against them....more

Ballard Spahr LLP

CPPA Announces Settlements with Data Brokers for Failure to Register Under the Delete Act

Ballard Spahr LLP on

On November 14, 2024, the California Privacy Protection Agency (“CPPA”), which is tasked with enforcing the California Consumer Privacy Act (the “CCPA”), announced it settled with two data brokers, Growbots, Inc. and UpLead...more

Pillsbury - Internet & Social Media Law Blog

First-of-Its-Kind Settlement Brings Clarity for Players in Retail Crypto Market

On February 14, the Securities and Exchange Commission (SEC) announced that it had entered into a settlement with BlockFi Lending LLC, a subsidiary of BlockFi Inc., (collectively BlockFi) over first-of-its-kind charges that...more

A&O Shearman

In Significant Shift, SEC Will Consider Offers Of Settlement And Collateral Waiver Applications Together

A&O Shearman on

On July 3, 2019, Chairman Jay Clayton of the Securities and Exchange Commission (“SEC”) issued a Statement Regarding Offers of Settlement (the “Public Statement”) to announce a significant shift in the SEC’s process of...more

Jones Day

Australian Appeal Court Endorses Class Action Closure Process but with Warnings

Jones Day on

Recently, in Jones v Treasury Wine Estates Limited (No 2) [2017] FCA 296, the Federal Court deviated from past class action practice. Registration was required to facilitate a mediation and group members could only...more

King & Spalding

SEC Enforcement Against Private Equity Firms - A Focus on Disclosure, Fees, and Conflicts of Interest

King & Spalding on

The Securities and Exchange Commission announced two settled enforcement actions against private equity fund advisers last week involving certain fee practices and potential conflicts of interest. Consistent with its...more

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