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Biz Law Blog

March 27, 2023
“Oh, Baloney!” SEC Sues Father, Son, and Friend for Manipulating the Stock of a New Jersey Deli
January 23, 2023
Hack Attack: SEC Charges 18 Individuals and Entities with Microcap “Pump and Dump”
January 17, 2023
“Picking the Winner”: SEC Sanctions Investment Adviser and an Associate for “Rigging” the Game
January 9, 2023
Investment Esoterica: A Stockless Triptych
December 12, 2022
'No Exit': SEC Sanctions Investment Adviser for Impeding University Investors from Departing a Private Fund
December 5, 2022
Goldman and the Juliet Problem: SEC Sanctions Adviser for Faulty ESG Policies
November 28, 2022
Only Sell What You Know-II: Selling Variable Interest Structure Products Is a Fraud on the Unsuspecting
October 31, 2022
Capturing the “Bull”: US Attorney and SEC Deal With “Inside” Tipper
October 24, 2022
Equitable Teaching: SEC Fails Variable Annuity Retirement Plans for Educators
October 13, 2022
Lessons from an Elder Abuse Story with a (Relatively) Happy Ending
March 15, 2022
Maximizing the Fee: Royal Bank of Canada Affiliate Pays $30+ Million for Client Abuse
September 2, 2021
Which Side Are You On? Municipal Broker/Dealer Takes Both Sides
August 12, 2021
Collateral Damage: SEC Sanctions “Varsity Blues” Parent
May 18, 2021
Raising the Bar: SEC to Propose Increased Thresholds for Performance-Based Fees
April 13, 2021
Who Are You and How Much Are You Paid? MSRB Proposes Regulation of Solicitor Municipal Advisors
January 28, 2021
Speaking with Divided Minds: The SEC “Modernizes” Investment Adviser Advertising
January 14, 2021
Taming the Elephants: SEC Jumbo Trader Risk Alert
January 5, 2021
Felling Goliaths: ICE, Prudential, and the SEC Slingshot
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
November 19, 2020
Credential Stuffing: Cyber Intrusions Into Client Accounts of Broker/Dealers and Investment Advisors
November 5, 2020
The European Stock Markets: Still at Sixes and Sevens
September 8, 2020
SEC Seeks to Increase the Security of the Data on the Consolidated Audit Trail National Market System
April 24, 2020
M&A in the Investment Services Space – Help! My Deal Went Sideways...
March 18, 2020
Coronavirus (COVID-19) Exemption for Certain Money Manager (Investment Adviser) Filing and Delivery Requirements

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