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March 27, 2023
“Oh, Baloney!” SEC Sues Father, Son, and Friend for Manipulating the Stock of a New Jersey Deli
March 20, 2023
SEC Obtains Court Judgment Against Unregistered Municipal Advisors
March 13, 2023
Fiddling With FICC: Proposed Rule Changes re Capital Requirements
March 6, 2023
Who Pays and How Much? Consolidated Audit Trail Funding
February 27, 2023
Calling Sam Spade: SEC Charges Two N.C. Executives Who Used a Malta-based Entity to Steal Over $75 Million
February 21, 2023
The Fourth Crow: SEC Sues Nonexistent Fund and Unidentified Agents
February 13, 2023
Defrauding D Orders: SEC Cracks Down on Manipulative Day Trader
February 6, 2023
Even-handed Thievery: SEC Sanctions Unregistered Investment Adviser for Fraudulent: I) Investment Advice, AND II) Filings for PPP Loans
January 30, 2023
Outside Tips: SEC Sues Trio for Trading on Equifax Breach
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
January 3, 2023
Double Jeopardy: SEC and FRB Sanction Bank and its CEO
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
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
November 21, 2022
“Red Flags in the Mind Set”: SEC Sanctions Three Broker/Dealers for Identity Theft Deficiencies
November 14, 2022
Fake News, American Style: SEC Sues Company and Executives for Phony “News”
November 7, 2022
Not Ship Shape: SEC Sues Retired Chief Petty Officer for Fraudulent Offerings to Navy-Related Victims
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 17, 2022
Valuing the Risk: FICC Proposes Rule Change to Protect Against Repo Volatility
October 13, 2022
Lessons from an Elder Abuse Story with a (Relatively) Happy Ending
October 10, 2022
“Promise Them Anything, But Give Them” – NOTHING, SEC Sanctions Adviser to Private Funds
October 3, 2022
Independence Days: SEC Acting Chief Accountant Guides on PE Investment and Consultant Divestiture
September 26, 2022
Non-Compliant Compliance: SEC Sanctions Chief Compliance Officer
September 19, 2022
“Pillow Talk": SEC Sues Greedy New Jersey "Domestic Partner"
September 12, 2022
Rate the Conflicts: SEC Sanctions Rating Agency and its Principal
September 6, 2022
Book Cooking Consequences: SEC Sanctions Corporate Executives and Outside Auditors for Accounting Fraud
August 29, 2022
Armored to the Brink: SEC Finds Security Company’s Confidentiality Agreement Illegal
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
August 1, 2022
Who Are You? Auditor or Consultant, And Nonetheless Cheating on Exams
July 25, 2022
Mony a Mickle Maks a Muckle: SEC Charges Foreign Nationals with Two Microcap Frauds
July 15, 2022
Fingers in the Till: SEC Charges Texas City Administrator with Falsified Financial Statements to Conceal Embezzlement
July 11, 2022
Stealing From the Weak: SEC Charges Fraudulent Operation of Special Needs Pooled Trusts
June 27, 2022
Serving the Public? SEC Charges Two Municipalities and Their Leaders with Bond Fraud
June 20, 2022
Changing the Game: SEC Brings Enforcement Action for Exchanging Annuities
June 13, 2022
A Fool in Idaho; SEC Sues Idahoans for Insider Trading Scheme
June 6, 2022
Words Have Meaning: NJ Court Upholds Waiver of Duty of Loyalty in LLC
June 1, 2022
SEC Brings Enforcement to Tragedy: Asserts Failed ESG Disclosure in Dam Collapse
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
March 15, 2022
Maximizing the Fee: Royal Bank of Canada Affiliate Pays $30+ Million for Client Abuse
February 9, 2022
Piloting SARs for Foreign Bank Affiliates
February 1, 2022
No Way Out? Real Estate Lending Becomes Riskier
January 11, 2022
Lower the Gates and Raise the Swing: SEC Proposes Amendments to MMF Rules
December 28, 2021
Form Does Matter: NJ Professional Corporation is Different from its Principals
December 21, 2021
Uniform Independence: SEC Sanctions Accountants and Lawyers
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 13, 2021
Twelve Tips When Preparing to Sell a Family-Owned Business
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 15, 2021
A Cautionary Tale of Over-Designating Documents: New Guidance From the District of New Jersey
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 24, 2020
A New Jersey LLC Is Really a General Partner
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 13, 2020
“Is You Is or Is You Ain’t:” Membership in an LLC
October 8, 2020
“We’re Not in Kansas Anymore:” SEC Enforcement Action Against a Trust Company With Trusts
October 6, 2020
Commerce, Culture, and Compliance
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 24, 2020
Coronavirus and the Constitutional Rights of Businesses: Butler v. Wolf
September 22, 2020
SEC Focus on Municipal Securities: Disclosure and Enforcement – The Peculiar Structure of the Municipal Securities Disclosure Regime
September 17, 2020
Bretton Woods, Bank Herstatt, and FedNow: The Origins of the International Payment System
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
May 21, 2020
The Pandemic Effect: The Outsourced Service Provider as a Resource
May 12, 2020
Learning From the Past: Legionnaires’ Disease and Reopening Your Business After COVID-19
May 12, 2020
Rent Guarantee Insurance – A Solution for Landlords?
May 11, 2020
Are Your Commercial Loans Immune to COVID-19?
April 30, 2020
The Pandemic Effect: Supply Chain and Distribution Channels
April 27, 2020
Inside the CARES Act: Paycheck II the Paycheck Protection Program and Health Care Enhancement Act
April 24, 2020
M&A in the Investment Services Space – Help! My Deal Went Sideways...
April 22, 2020
Do Your Due Diligence: U.S. Securities and Exchange Commission Warns Main Street Investors About COVID-19-Related Fraud
April 21, 2020
The Pandemic Effect: Sale of a Business
April 16, 2020
The Coronavirus (COVID-19) and Impracticability and Frustration of Purpose as Defenses to Breach of Contract Claims in Pennsylvania
April 16, 2020
Remote Notary Services Get A (Temporary) Green Light in New Jersey
April 15, 2020
Pennsylvania Passes Senate Bill 841 to Allow Public Meetings and Notary Services via Telecommunication
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 3, 2020
Inside the CARES Act: COVID-19 Impact Upon Retirement Plans/Accounts
April 3, 2020
COVID-19 and Impracticability and Frustration of Purpose as Defenses to Breach of Contract Claims in Pennsylvania
April 1, 2020
Inside the CARES Act: COVID-19 Update – SBA Releases Sample Application for Paycheck Protection Program
April 1, 2020
Inside the CARES Act: Individual Tax Rebates Under the CARES Act of 2020
March 31, 2020
Inside the CARES Act: Update—Applying for a COVID-19-Related SBA Loan?
March 28, 2020
Inside the CARES Act: Five-Year Carryback for Net Operating Losses and Taxable Income Offset
March 28, 2020
Inside the CARES Act: Changes to the Bankruptcy Code Under the CARES Act
March 28, 2020
Inside the CARES Act: Loan Payment Subsidies for Certain Loans as Part of the CARES Act of 2020
March 28, 2020
Inside the CARES Act: Emergency EIDL Grants as Part of the CARES Act of 2020
March 28, 2020
Inside the CARES Act: COVID-19 Loan Forgiveness Relief—a Section 1106 Primer
March 27, 2020
Governor Wolf Approves Temporary and Limited Suspension of Rule Requiring Physical Presence of Notaries for Real Estate Transactions
March 24, 2020
First U.S. Business Files Suit Against Insurance Carrier for Losses Resulting From Coronavirus (COVID-19)
March 20, 2020
Business Continuity Planning During the Coronavirus (COVID-19) Pandemic
March 19, 2020
Can the Government Really Shut Down My Business and Make Me Stay Home? Questions Answered Relating to Declarations of Emergency Due to Coronavirus
March 18, 2020
COVID-19 Is Destroying Our Economy, Don’t Let It Destroy Your Businesses
March 18, 2020
How to Help Your Employees Amid Coronavirus (COVID-19) Shutdowns
March 18, 2020
Coronavirus (COVID-19) Exemption for Certain Money Manager (Investment Adviser) Filing and Delivery Requirements
March 17, 2020
Coronavirus (COVID-19) Legal Update for Pennsylvania Municipalities and Municipal Authorities
December 11, 2019
Corporations and LLCs: New Federal Beneficial Ownership Disclosure Requires Reporting to FinCEN
December 9, 2019
SOFR and the Shutdown of Overnight Repos: What Happens If There Is Nothing to Measure?
November 22, 2019
Does Attorney-Client or Work-Product Privilege Apply to Your Corporate Client's Employees?
September 20, 2019
Five Important Questions to Ask Your Business's Website Developer
August 30, 2019
SEC Stresses Attention to LIBOR Transition in Joint Statement
August 20, 2019
LIBOR to SOFR: The New Adjustable Rate Mortgage
August 14, 2019
IRS Targets Crypto with Thousands of Letters to Virtual Currency Users
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 21, 2019
Neutral Technology or a Deeper Entrenchment of Human Bias? The Hidden Dangers of Artificial Intelligence
June 3, 2019
"Measure for Measure:" LIBOR, SOFR, and the U.S. Dollar ICE Bank Yield Index
April 9, 2019
FASB Refuses to Let Regional Banks Avoid Taking Earlier Loss Reserves
March 19, 2019
To B or Not to B? How B-Corporation Status Can Work for You
March 8, 2019
Broker/Dealer Research Reports – Mutual Funds, ETFs, and Business Development Companies
January 8, 2019
What Do M&A Earn-Outs and Designing Bridges Have in Common?
December 11, 2018
The Expanding Scope of the Committee on Foreign Investment in the United States
September 21, 2018
Non-Disclosure Agreements
September 4, 2018
To Do Due Diligence: It’s Not Just for Mergers & Acquisitions
August 14, 2018
Single Member LLCs - Best Practices for Maintaining Liability Protection
August 10, 2018
Veterans Organizations Entitled to Residential Rates for Utility Services
August 9, 2018
Mirror, Mirror on the Wall – Am I a Franchise After All?
July 31, 2018
Limited Liability Companies: Important Considerations to Make from Beginning (Part 2)
July 26, 2018
Limited Liability Companies: Easy to Set-Up and Worth it to Protect You and Your Business (Part 1)
July 24, 2018
Tax Increment Financing – Still a Vital Economic Development Tool
July 23, 2018
Sales Tax Just Got Harder for Online and Out-Of-State Retailers
February 11, 2014
The Pennsylvania Tax Increment Financing Act: An Analysis
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