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Self-Reporting › Executive Orders › Transparency

Katten Muchin Rosenman LLP

Clearer Skies Ahead: CFTC Enforcement Division's New Advisory Opens Doors for Self-Reporting and Increased Cooperation

Katten Muchin Rosenman LLP on

In what is being widely viewed as a welcome breath of fresh air, the Commodity Futures Trading Commission (the Commission or CFTC) Division of Enforcement (the Division) released an advisory on February 25, detailing the...more

Faegre Drinker Biddle & Reath LLP

The SEC’s SCSD Initiative Second Wave and the Applicability of the President’s Recent Executive Order

Faegre Drinker Biddle & Reath LLP on

On September 30, 2019, the SEC ordered an additional 16 self-reporting investment advisory firms to pay nearly $10 million in disgorgement. Some have referred to this as the “second wave” of the SEC Division of Enforcement’s...more

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