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    Blogs > Biz Law Blog

    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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