‘Enforcement 40′ for 2017
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SEC’s Lone Democratic Member Expected to Step Down in Fall – WSJ
The only Democratic member of the Securities and Exchange Commission is expected to leave government later this year, paving the way for a more conservative tilt on some regulatory decisions. Robert Jackson Jr. is expected to join New York University Law School for the fall semester, according to a university spokesman and an email from […]
The SEC’s budget shows just how outgunned it is | TheHill
The trick is, rather than getting mired in the weeds, one should review four top-line numbers provided by the reports. To wit, the executive summary of the 2020 budget appropriations document says the agency expects to oversee $97 trillion in securities trading, a 29-percent jump from the $75 trillion it saw supervising in 2019. By […]
A Lens into SEC Enforcement | Middle Market Growth
The report demonstrates how these principles led to the SEC’s primary focus on protecting Main Street investors from bad actors and fraudulent conduct in 2018. The report also imparts another important message from the co-directors of the SEC’s enforcement division: Success should not be solely measured by the sheer number of cases brought or the […]
The SEC v. Mark Cuban
…. The SEC’s case against Cuban raises questions focusing on the scope of this nation’s insider trading laws, the strategic litigation decisions made, the significant costs of defending one’s good reputation, and the proper limits of governmental prosecutorial discretion. via The SEC v. Mark Cuban.
Departing SDNY Criminal Chief Heading to Debevoise | New York Law Journal
The former chief of the criminal division at the U.S. Attorney’s Office in the Southern District of New York is set to join Debevoise & Plimpton, where she will join several former colleagues from the top ranks of U.S. law enforcement in the firm’s white-collar defense and investigations practice. Lisa Zornberg, who was revealed in January to […]
Judge orders Elon Musk to put ‘reasonableness pants’ on, settle SEC claims
“Tesla still appears unwilling to exercise any meaningful control over its CEO,” SEC lawyer Cheryl Crumpton told the judge Thursday. “He is regularly tweeting about communications that could be material and blowing past the approval process.” But judge declined to spank Musk — choosing instead to order the Tesla CEO and the SEC to work […]
Q&A: Fenwick’s Michael Dicke Dishes on New SEC Guidance on Digital Tokens | The Recorder
When is a digital token a security? It has the ring of modern haiku, but it’s a serious question to securities lawyers operating on the cutting edge of the crypto-world. We caught up with Fenwick & West partner Michael Dicke, the former enforcement chief of the San Francisco regional Securities and Exchange Commission office, to […]
Lowenstein Sandler Boosts Fast-Growing Practices With Addition of Rachel Maimin From SDNY U.S. Attorney’s Office and H. Gregory Baker From SEC Enforcement Division | Lowenstein Sandler LLP
Lowenstein Sandler announced today that Rachel Maimin, a former Assistant U.S. Attorney in the Southern District of New York, and H. Gregory Baker, a former Senior Counsel in the U.S. Securities & Exchange Commission’s Division of Enforcement Asset Management Unit, have joined the firm as partners in its New York office. via Lowenstein Sandler Boosts […]
Statement on “Framework for ‘Investment Contract’ Analysis of Digital Assets”
As part of a continuing effort to assist those seeking to comply with the U.S. federal securities laws, FinHub is publishing a framework for analyzing whether a digital asset is offered and sold as an investment contract, and, therefore, is a security. The framework is not intended to be an exhaustive overview of the law, but […]
Andreessen Horowitz says it will no longer be a venture capital firm
Andreessen Horowitz will soon cease to be a venture capital firm, veering away from the majority of its Sand Hill Road neighbors in Silicon Valley to instead become a registered investment advisor, or RIA. via Andreessen Horowitz says it will no longer be a venture capital firm.