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Rulemaking Process Securities Violations

Troutman Pepper Locke

Investment Management Update - Q3 2024

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On August 28, the U.S. Securities and Exchange Commission (SEC) adopted amendments to certain registered investment companies (funds) reporting requirements. The SEC originally proposed the amendments on November 2, 2022....more

Goodwin

Key Questions for the Upcoming Private Funds Rules Fifth Circuit Decision

Goodwin on

As a reminder, the Securities and Exchange Commission (SEC) and the National Association of Private Fund Managers (NAPFM) and the other Petitioners in the Private Funds Rules Litigation1 requested that the three-judge panel...more

DarrowEverett LLP

Actions vs. J.P. Morgan, Monolith Serve as SEC Compliance Check Reminders

DarrowEverett LLP on

The Securities and Exchange Commission (SEC) recently settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law...more

Vinson & Elkins LLP

[Hybrid Event] Navigating the SEC: A 2023 Look Back and Look Forward - August 31st, Houston, TX

Vinson & Elkins LLP on

Sarah Morgan, M&A and Capital Markets partner, and Rebecca Fike, Securities Litigation and Government Investigations partner will give a look back at the first half of 2023 through SEC Enforcement actions, public speeches,...more

BakerHostetler

SEC and DOJ Bring Parallel Crypto Insider Trading Cases; SEC Alleges Nine Coinbase-Listed Tokens Are Securities

BakerHostetler on

Significant parallel actions commenced this week by the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) bring crypto fraud enforcement into the spotlight, with the SEC alleging that multiple...more

Vinson & Elkins LLP

[Hybrid Event] Navigating Inside the SEC - July 20th, Dallas, TX

Vinson & Elkins LLP on

After spending 10 years in the Division of Enforcement at the Fort Worth Regional Office of the Securities and Exchange Commission, Rebecca Fike gained a rare view into what many describe as one of the government’s most...more

Carlton Fields

SEC Now May Consider a Simultaneous Settlement Offer and Waiver Request

Carlton Fields on

Certain “bad actors” who settle with the SEC may be subject to automatic disqualifications or collateral consequences under federal securities laws and regulations. The Commission, however, may grant a settling party’s...more

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