Practice Area: Securities

SEC PROPOSES NEW RULES IN EFFORT TO ESTABLISH CLEAR GUIDELINES FOR INVESTMENT CONTRACTS INVOLVING CRYPTO ASSETS

Posted on September 1, 2026

On August 18, 2026, the Securities and Exchange Commission (“SEC”) issued its proposed new rules directed at crypto based transactions. The proposed regulation, titled Regulation Crypto Assets (the “Regulation”), sets forth guidelines pertaining to the use of crypto assets within investment contracts. The term crypto asset is generally defined as an asset generated, issued, or…
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SCOTUS RECONCILES CIRCUIT SPLIT SURROUNDING SEC DISGORGEMENT ACTIONS AND EVIDENCE OF INVESTOR LOSSES

Posted on August 3, 2026

On June 4, 2026, the Supreme Court of the United States released its unanimous opinion in the case Sripetch v. SEC, 146 S. Ct. 1403 (2026). The Court granted certiorari to address a widening division among the Circuit Courts of Appeals as to whether the SEC must demonstrate evidence of investor losses when seeking enforcement…
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SEC RELEASES DRAFT STRATEGIC PLAN FOR 2026–2030: EMPHASIZING DIGITAL ASSET CLARITY, PRINCIPLED ENFORCEMENT, AND REGULATORY MODERNIZATION

Posted on July 1, 2026

The U.S. Securities and Exchange Commission (SEC) has published its Draft Strategic Plan for Fiscal Years 2026 through 2030, marking a return to the agency’s mission as established by Congress in the Securities Exchange Act of 1934. Released on June 2, 2026, the draft document underscores three core objectives: protecting investors, maintaining fair, orderly, and…
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ATTORNEYS CHARGED BY SEC FOR ROLE IN INSIDER TRADING SCHEME BASED ON USE OF CONFIDENTIAL CLIENT INFORMATION

Posted on June 1, 2026

On May 6, 2026, the Securities and Exchange Commission (SEC) announced charges filed against 21 individuals for their alleged participation in an elaborate insider trading scheme based on improper use confidential client information. Those charged include several mergers and acquisitions attorneys, who allegedly misappropriated client information within their law firms’ internal networks and provided the…
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SCOTUS TO DECIDE FUTURE OF SEC’S DISGORGEMENT AUTHORITY

Posted on May 1, 2026

The Supreme Court will hear oral arguments on April 20, 2026, in Sripetch v. Securities and Exchange Commission, a case that could significantly affect the scope of the Securities and Exchange Commission’s (SEC) authority to obtain disgorgement in civil enforcement actions. Disgorgement requires violators of securities laws to surrender profits obtained through misconduct, rooted in…
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FINRA’S REGULATORY NOTICE 26-06 SUGGESTS POTENTIAL RESTRUCTURING OF CURRENT ARBITRATION PROCESSES

Posted on April 1, 2026

On March 2, 2026, the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 26-06, requesting feedback and commentary on current arbitration processes utilized for dispute resolution among brokers and customers. FINRA’s recent publication comes at a time when its existing dispute resolution system has been under heavy criticism from industry parties and investors. The measure…
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FINRA EASES BULK TRANSFER RULES WHILE DEEPFAKE PUMP-AND-DUMP ALLEGATIONS HIT NEW HEIGHTS

Posted on March 2, 2026

Two noteworthy developments in the securities industry emerged this month, one offering relief to broker-dealers and the other serving as a stark reminder of evolving fraud risks. FINRA Removes Pre-Review Requirement for Negative-Consent Bulk Account Transfer Letters On February 6, 2026, FINRA issued Regulatory Notice 26-03 announcing a significant procedural change effective April 1, 2026….
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FINRA RELEASES 2026 ANNUAL REGULATORY OVERSIGHT REPORT ADDRESSING RECENT CYBERSECURITY AND GEN-AI BASED THREATS

Posted on February 2, 2026

On December 9, 2025, the Financial Industry Regulatory Authority (FINRA) released its Annual Regulatory Oversight Report (Report) recapping its notable findings and regulatory activities. The Report itself does not create any new legal obligations but rather serves as an informative resource to firms by providing effective practices based on current trends and evolving risks within…
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SWISS PROSECUTORS CHARGE UBS OVER LEGACY CREDIT SUISSE MONEY LAUNDERING IN MOZAMBIQUE ‘TUNA BONDS’ SCANDAL

Posted on January 5, 2026

On December 1, 2025, Switzerland’s Office of the Attorney General (OAG) announced criminal charges against UBS and the former Credit Suisse, marking a significant development in the long-running “tuna bonds” scandal. The charges stem from allegations that Credit Suisse failed to prevent money laundering tied to over $2 billion in loans arranged for Mozambique’s state-owned…
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SEC CHANGES COURSE ON MANDATORY ARBITRATION CLAUSES

Posted on December 1, 2025

On September 17, 2025, the Securities and Exchange Commission (SEC) issued a new policy statement clarifying the effect of mandatory arbitration clauses on its decisions to accelerate the effectiveness of registration statements. In doing so, the SEC confirmed that registration agreements containing mandatory arbitration clauses between issuers and investors will not impact decisions to accelerate…
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