SEC Proposal to Permit Non-Emerging Growth Companies to “Test the Waters”
On February 19, 2019, the Securities and Exchange Commission (“SEC”) voted to propose an expansion…
Browsing: SEC Regulation
Changes Coming to Rule 10b5-1
The Securities Act of 1933 (“Securities Act”) strives to allow properly informed investors to safely…
Cryptocurrency ICO Issuers on Notice After SEC Seminal DAO Report
In 2018, the Securities and Exchange Commission (“SEC”) significantly cracked down on unregistered Initial Coin…
EU’s Financial Markets and MiFID II
Regulating financial markets has never been an easy task.[1] Regulating a market that consists of…
The Evolution of Digital Currencies: From Bitcoin to ICOs
It has been a while since the name “Bitcoin” first appeared on mainstream media in…
SEC Publishes Risk Alert on Top 5 Investment Adviser Compliance Issues Found During Exams
On February 7, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities…
Takeaways from the 2017 SEC Examination Priorities Letter
The Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”)…
Political Corruption: Afflicting America and Affairs Abroad
The Fordham Journal of Corporate and Financial Law held its annual symposium titled, “Political Corruption:…
Cell Phone Forensics: Powerful Tools Wielded By Federal Investigators
Cellular phone forensics company Cellebrite recently gained national notoriety for its rumored assistance in cracking…
An Overview of the SEC’s Whistleblower Award Program
In 2010, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act in response…