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Nutter Securities Enforcement Update: April 18, 2024 | Nutter McClennen & Fish LLP

Published: April 18, 2024

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that...

Source: jdsupra.com

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United StatesStephenj EasterbrookMcdonald CorporationExchange Act SectionsMatter Of Gaia IncMatter Of Cloopen Group HoldingEnforcement DivisionMatter Of Cronos Group IncMatter Of Stanley Black Decker IncJp Morgan SecuritiesExchange Act RuleMatter Of View IncChannel Communications SettlementsDe Shaw CoCommunications IncNutter Securities Enforcement UpdateMarketing Rule SettlementsAdvisers Act Marketing RuleCloopen Group HoldingStanley BlackCronos GroupSecurities Act Sections

The Latest Settlements in the SEC's 'Off-Channel' Communications Sweep: What This Means and What's Next | Akin Gump Strauss Hauer & Feld LLP

Published: October 6, 2023

Key Points - Last week, the SEC announced settlements with 10 broker-dealers and affiliated investment advisers in connection with their failures to maintain and preserve...

Source: jdsupra.com

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Gary GenslerGurbirs GrewalSecurities ExchangeChannel Communications SettlementsExchange CommissionAkin Gump Strauss Hauer FeldDivision Of EnforcementCommodity Futures Trading CommissionJp MorganDepartment Of JusticeAkin Gump Strauss HauerOff Channel CommunicationsSecurities Exchange ActInvestment Advisers ActExchange ActAdvisers ActScotia Capital