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Corporate Finance/Securities

December 27, 2022
Delusional Improvement: SEC Proposes Governance Rules for Clearing Agencies
December 19, 2022
Cutting Corners: SEC Sues Surgical Implant Company for Disclosure AND Accounting Fraud
September 12, 2022
Rate the Conflicts: SEC Sanctions Rating Agency and its Principal
August 25, 2022
Libor Continues to Fade Away
August 22, 2022
Sell Only What You Know: Swiss Bank Negligence is a Fraud on Clients
August 15, 2022
Impaired Brilliance: SEC and US Attorney Sue Veteran Investor for Insider Trading
August 8, 2022
The SEC "Special Ops" of Enforcement: Five cases Identified by Analysis and Detection Center
May 16, 2022
“Fake News” Brazilian Style
May 9, 2022
Penny Pest Control: Rollins Inc. Pays $8 Million for Managing Earnings
April 28, 2022
Failing Grades: School District and Auditor Earn SEC Discipline
April 21, 2022
A Triptych of Frauds: SEC Brings Enforcement Actions
January 11, 2022
Lower the Gates and Raise the Swing: SEC Proposes Amendments to MMF Rules
December 9, 2021
"Call the Plumber": Bank for International Settlement AND IOSCO Call for Reforms
September 9, 2021
Tweeting in the Night: Judgment Entered Against ARCS Stock Tout
September 2, 2021
Which Side Are You On? Municipal Broker/Dealer Takes Both Sides
August 31, 2021
Streaming Data: SEC Charges Netflix Trading Ring
August 24, 2021
Who Will Watch the Watchmen? Audit Shortcomings
August 12, 2021
Collateral Damage: SEC Sanctions “Varsity Blues” Parent
August 10, 2021
Improving the Plumbing: The Fed Responds to the Group of 30 and Creates Two Standing Repo Facilities
August 3, 2021
Insider Tips: And That IS “Bull”
June 29, 2021
“C.T.A.,” NOT “Chicago”
June 8, 2021
Fixing FICC: Agency Proposes Rule Changes to Encourage More Repo Clearing
May 27, 2021
“Margin, I Have to Have More Margin:” The National Securities Clearing Corporation Proposes to Increase the Minimum Required Fund Deposit
May 25, 2021
Data Integrity: The SEC Sanctions S & P Dow Jones Indices LLC
May 20, 2021
Too Much Bother: Broker/Dealer Affiliate of An Insurer Catering to Retirement Plans
May 18, 2021
Raising the Bar: SEC to Propose Increased Thresholds for Performance-Based Fees
May 11, 2021
Friends and Family Fraud: LLC Does It
May 6, 2021
The Dog Ate My Financials: Dissembling Filers Sanctioned by the SEC
May 4, 2021
LIBOR Fading Away: What Lenders and Borrowers Should Know
April 29, 2021
Tightening the Reins: SEC Approves Proposed Rule Change to Clearing Agency Investment Policy
April 27, 2021
“I Robot:” The SEC Evaluates the First Law of Robotics
April 22, 2021
What’s in a Name? The SEC Warns Against Confusion in ESG Investments
April 20, 2021
Red Flags and SARs: The SEC Warns Broker/Dealers on AML
April 15, 2021
Oops: NASDAQ Seeks to Correct a 2009 Error Re: ADR Listing Requirements
April 13, 2021
Who Are You and How Much Are You Paid? MSRB Proposes Regulation of Solicitor Municipal Advisors
March 30, 2021
Under the Cover of Darkness: Insider Trading and the Dark Web
March 25, 2021
Beware the Ides of March: SEC Requests Comments on Climate Disclosure
March 23, 2021
Swiss Miss: The Fed, Basel III, and SLR
March 9, 2021
Are You Covered? The Exposure of D’s and O’s for Diverse Reasons
March 4, 2021
SEC Stops the Game: Suspending Trading After “Questionable Trading and Social Media Activity”
March 2, 2021
Being Held Accountable: The ‘Education’ of KPMG at the College of New Rochelle
February 25, 2021
'X-Rated': SEC Sues Morningstar
February 23, 2021
‘Bucking the Break’: SEC Requests Comments on MMF Reforms
February 11, 2021
Taking a Bath: Will Bed Bath & Beyond Drown in the GameStop Surge?
February 9, 2021
Inciting to Rupture: Keith Gill and the GameStop Surge
February 4, 2021
Tracking Treasury Trading: The Fed to Collect the TRACEs
February 2, 2021
Rupture Rapture: Should the GameStop?
January 28, 2021
Speaking with Divided Minds: The SEC “Modernizes” Investment Adviser Advertising
January 26, 2021
New Law Requires Federal Registration and Ownership Disclosure for LLCs and Corporations
January 14, 2021
Taming the Elephants: SEC Jumbo Trader Risk Alert
January 12, 2021
In Defense of the Realm: The NDAA, Money Laundering, and Terrorist Financing
January 7, 2021
Tacking When Floating and Other Proposed Amendments to SEC Rule 144
January 5, 2021
Felling Goliaths: ICE, Prudential, and the SEC Slingshot
December 31, 2020
Letting Qualified Experts Expand the Pink to Avoid the Grey: Proposed Conditional Waiver to SEC Rule 15c2-11
December 29, 2020
Direct Listing on the New York Stock Exchange: “Undertaking” the Underwriter REDUX
December 15, 2020
When the CCO Is Not Compliant: Failure To Have Independent Testing of Broker/Dealer AML Compliance
December 8, 2020
Meeting Specified Standards: the SEC’s OCIE Assesses Compliance
December 3, 2020
LIBOR Is Fading Away; But, Perhaps, Not as Quickly as Thought
December 1, 2020
Treasury Transparency: Enhanced Regulations for Trading in Government Securities
November 19, 2020
Credential Stuffing: Cyber Intrusions Into Client Accounts of Broker/Dealers and Investment Advisors
November 17, 2020
LIBOR Is Fading Away
November 10, 2020
Why FinTech Needs Boston Blackie
November 5, 2020
The European Stock Markets: Still at Sixes and Sevens
October 29, 2020
Keeping Securities Disclosures in the Pink: Amendments to SEC Rule 15c2-11
October 22, 2020
Inside Looking Out: Enforcing the Law Against a Market Designer
October 8, 2020
“We’re Not in Kansas Anymore:” SEC Enforcement Action Against a Trust Company With Trusts
October 1, 2020
Taxing Disclosures: Municipal Securities Issuers and COVID-19
September 29, 2020
What if the Advice Is Suspect? Municipal Securities Advisor Registration and Dereliction
September 22, 2020
SEC Focus on Municipal Securities: Disclosure and Enforcement – The Peculiar Structure of the Municipal Securities Disclosure Regime
September 15, 2020
‘Accredited Investor’: Regulatory Design, the Revised Definition, and the Unfinished Result
September 10, 2020
When the Tank Is Empty: Auditing in the Time of COVID-19
September 8, 2020
SEC Seeks to Increase the Security of the Data on the Consolidated Audit Trail National Market System
September 2, 2020
Direct Listing on the New York Stock Exchange: “Undertaking” Underwriting
August 19, 2020
Are You Ready? Preparing Your Business for a Paycheck Protection Program (PPP) Loan Audit
June 10, 2020
Government Provides Relief in the Paycheck Protection Program Flexibility Act
May 29, 2020
House Passes Bill to Relax PPP Forgiveness Conditions
April 27, 2020
Inside the CARES Act: Paycheck II the Paycheck Protection Program and Health Care Enhancement Act
April 22, 2020
Do Your Due Diligence: U.S. Securities and Exchange Commission Warns Main Street Investors About COVID-19-Related Fraud
April 13, 2020
Small Business Reorganization Act: The Vaccine for Small Businesses Suffering From the COVID-19 Pandemic
April 8, 2020
Small Business and Consumer Debt Collection Emergency Relief Act of 2020
April 1, 2020
Inside the CARES Act: COVID-19 Update – SBA Releases Sample Application for Paycheck Protection Program
March 31, 2020
Inside the CARES Act: Update—Applying for a COVID-19-Related SBA Loan?
March 28, 2020
Inside the CARES Act: Changes to the Bankruptcy Code Under the CARES Act
March 18, 2020
Coronavirus (COVID-19) Exemption for Certain Money Manager (Investment Adviser) Filing and Delivery Requirements
December 9, 2019
SOFR and the Shutdown of Overnight Repos: What Happens If There Is Nothing to Measure?
August 30, 2019
SEC Stresses Attention to LIBOR Transition in Joint Statement
August 20, 2019
LIBOR to SOFR: The New Adjustable Rate Mortgage
August 1, 2019
Elder Financial Abuse: The Senior Safe Act
July 23, 2019
Oh How Will We Measure When the Ruler is Uncertain: More Observations on the LIBOR Saga
July 16, 2019
Research Reports by Broker/Dealers – FINRA Catches Up
July 1, 2019
Facebook Enters Epicenter of Blockchain Technology with Libra
June 27, 2019
General Partnership Interests Are Securities - Sometimes: The 5th Circuit Revisits Williamson
June 24, 2019
Thinking of Raising Capital? A Direct Public Offering Could Cut You Some “Slack”
June 3, 2019
"Measure for Measure:" LIBOR, SOFR, and the U.S. Dollar ICE Bank Yield Index
March 8, 2019
Broker/Dealer Research Reports – Mutual Funds, ETFs, and Business Development Companies
December 11, 2018
The Expanding Scope of the Committee on Foreign Investment in the United States
August 14, 2018
Single Member LLCs - Best Practices for Maintaining Liability Protection

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