Securities Law

Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution

October 17, 2023

Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened a hybrid meeting today to discuss certain issues relating to… Full report at: Read More

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Brian Marc Rubin

October 17, 2023

Brian Marc Rubin Read the full report at Read More

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SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community

October 16, 2023

The Securities and Exchange Commission today announced that it obtained a temporary restraining order, asset freeze, and other emergency relief to halt an ongoing fraud targeting the Indian American community that has raised nearly $130 million since… Full report at: Read More

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SEC Division of Examinations Announces 2024 Priorities

October 16, 2023

The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on in the… Full report at: Read More

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Frederick L. Sharp et al.,

October 13, 2023

Frederick L. Sharp et al., Read the full report at Read More

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SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection

October 13, 2023

The Securities and Exchange Commission today adopted new Rule 13f-2 to provide greater transparency to investors and other market participants by increasing the public availability of short sale related data. Congress directed the SEC in Section… Full report at: Read More

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SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting

October 10, 2023

The Securities and Exchange Commission today adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The amendments update Regulation 13D-G to require market participants to… Full report at: Read More

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Elon R. Musk

October 5, 2023

Elon R. Musk Read the full report at Read More

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Matthew M. Motil, et al.

October 4, 2023

Matthew M. Motil, et al. Read the full report at Read More

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SEC Names Stephanie Allen as Director of Media Relations and Speechwriting

October 4, 2023

The Securities and Exchange Commission today announced the appointment of Stephanie Allen as Director of Media Relations and Speechwriting, effective Oct. 1, 2023. Ms. Allen has served as Director of Speechwriting and Senior Adviser to the Chair since… Full report at: Read More

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