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8/16/2024 7:58:59 PM

SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know

By Michael Diver Susan Light Wayne Aaron +3 more...

In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash...

10/6/2023 7:08:05 PM

SEC’s Request for Interlocutory Appeal of Favorable Rulings for Ripple Labs’ Defendants Rejected Based on Well-Settled Law

By Dan Davis Alex Kim

On October 3, 2023, a federal court denied the Securities and Exchange Commission’s request to certify for appeal the same court’s...

8/29/2023 10:16:46 PM

SEC Denial of Grayscale Bitcoin Fund Was Arbitrary and Capricious, Rules DC Circuit Court of Appeals

By Dan Davis Alex Kim

The Securities and Exchange Commission acted arbitrarily and capriciously when it denied Grayscale Investment LLC’s proposed listing of a...

8/29/2023 3:32:20 PM

Offering of NFTs Allegedly Promoted as Investments Claimed To Be Unregistered Securities Offering by SEC in Settled Enforcement Action

By Dan Davis

An offering of non-fungible tokens was deemed an unlawful offering of securities without registration by the Securities and Exchange...

8/3/2023 1:46:52 PM

A Disagreement Among Judges in the Same Courthouse Arises in Ruling Denying Motion to Dismiss SEC Enforcement Action Against Terraform Labs

By Dan Davis

One US federal district court judge affirmatively challenged the analysis of another district court judge sitting in the same courthouse...

6/9/2023 1:27:48 AM

Rationality in the Federal Oversight of Digital Assets? It’s Possible Say Members of Two House Committees Proposing New Legislative Framework

By Dan Davis

A framework for a potential bill that would provide (1) the Commodity Futures Trading Commission exclusive jurisdiction over digital...

2/10/2023 9:59:49 PM

SEC’s ESG Task Force Strikes Again

By Johnjerica Hodge Ryan Meyer India Williams

Activision Blizzard Workplace Misconduct Allegations Transformed into Securities Violations In another victory for the Securities and...

2/6/2023 8:14:30 PM

Half of all States Sue DOL over ESG Rule, Foreshadowing Challenges to the SEC’s ESG Agenda

By Johnjerica Hodge

On January 26, 2023, twenty-five states, plus a publicly traded energy company with a subsidiary that is a fiduciary and trustee under...

2/1/2023 9:02:19 PM

Whistleblower Complaint Capitalizes on SEC Interest in Sustainability Fraud

By Chris Cole

Multiple news outlets recently reported that the activist group Mighty Earth filed a whistleblower tip, which it styled as an informal...

12/11/2022 12:33:43 AM

Public Companies with Exposure to Crypto Markets After FTX Collapse: To Disclose or Not to Disclose – You Better Disclose if Material, Says SEC Staff

By Dan Davis

The recent collapse of FTX and other companies transacting in cryptoassets prompted staff of the U.S. Securities and Exchange Commission...

11/23/2022 6:05:41 PM

New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules

By Johnjerica Hodge

On November 22, 2022, the U.S. Department of Labor (DOL) announced a final rule promulgated by the Employee Benefits Security...

11/16/2021 1:20:18 AM

Just Say No: The SEC Again Rejects an Application for the Listing and Trading of Shares of a Bitcoin Exchange-Traded Fund

By Dan Davis

The Securities and Exchange Commission again rejected an exchange’s application to list and trade shares of a bitcoin ETF on November 12,...

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SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know

SEC’s Request for Interlocutory Appeal of Favorable Rulings for Ripple Labs’ Defendants Rejected Based on Well-Settled Law

SEC Denial of Grayscale Bitcoin Fund Was Arbitrary and Capricious, Rules DC Circuit Court of Appeals

Offering of NFTs Allegedly Promoted as Investments Claimed To Be Unregistered Securities Offering by SEC in Settled Enforcement Action

A Disagreement Among Judges in the Same Courthouse Arises in Ruling Denying Motion to Dismiss SEC Enforcement Action Against Terraform Labs

Rationality in the Federal Oversight of Digital Assets? It’s Possible Say Members of Two House Committees Proposing New Legislative Framework

SEC’s ESG Task Force Strikes Again

Half of all States Sue DOL over ESG Rule, Foreshadowing Challenges to the SEC’s ESG Agenda

Whistleblower Complaint Capitalizes on SEC Interest in Sustainability Fraud

Public Companies with Exposure to Crypto Markets After FTX Collapse: To Disclose or Not to Disclose – You Better Disclose if Material, Says SEC Staff

New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules

Just Say No: The SEC Again Rejects an Application for the Listing and Trading of Shares of a Bitcoin Exchange-Traded Fund

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