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Searching Content by Benjamin Neaderland ordered by Published Date Descending.
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SEC Holds Kokesh Does Not Impact FINRA Industry Bar
On August 23, 2019, the Securities and Exchange Commission held in In re John M.E. Saad that the US Supreme Court's decision in Kokesh v. SEC had no impact on the Financial Industry Regulatory Authority's.
United States
29 Aug 2019
2
Midterm Congressional Election Year Merits Extra Pay-To-Play Vigilance By Investment Advisers
Midterm congressional elections are expected to see a historic number of candidates competing.
United States
6 Feb 2018
3
Implications Of The Supreme Court's Kokesh Decision
Earlier this month, the Supreme Court ruled unanimously in Kokesh v. SEC1 that a claim for disgorgement arising from the violation of federal securities law constitutes a "penalty" for purposes of ...
United States
28 Jun 2017
4
BNA Insights: Statute Of Limitations For Disgorgement Claims In SEC And CFPB
In a landmark May 26, 2016 decision, the U.S. Court of Appeals for the Eleventh Circuit became the first appellate court to rule that Securities and Exchange Commission (‘‘SEC'') actions for disgorgement are subject to a statute of limitations.
United States
10 Aug 2016
5
Opportunities And Risks In Municipal Underwritings And Derivatives
In the current economic climate, opportunities are expanding significantly for municipal underwriters and derivatives specialists as states and municipalities across the country clamor to pay for infrastructure and services, fill expanding budget gaps, and shore up unfunded or underfunded pension obligations.
United States
21 Apr 2015
6
Parties Push To Enforce Statutory Time Limits On SEC Enforcement Actions
Two cases now before US Courts of Appeals carry the possibility of placing meaningful new limits on the US Securities and Exchange Commission’s (SEC) time horizon for bringing enforcement actions.
United States
14 Apr 2015
7
Contribution Caution: Mitigating Risks From Pay-To-Play
With the record-breaking campaign expenditures of the 2014 midterm elections behind us, and the 2016 campaign cycle already heating up, this is an ideal moment for investment advisers (including advisers to venture capital funds and certain private equity and hedge funds) to ensure that they have mechanisms in place to verify compliance with the U.S. Securities and Exchange Commission’s pay-to-play rule.
United States
7 Apr 2015
8
Haunted By A Ghost: Snapchat, Wall Street, And The Evolving Focus Of Financial Social Media Regulation
A new service, Snapchat, has joined the constellation of social media services with potential business implications. Snapchat is a mobile application, originally aimed at teenagers, which allows users to send photos and text that ‘‘disappear’’ from a recipient’s inbox within 10 seconds of viewing.
United States
4 Sep 2013
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