The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
10/14/2024
/ Administrative Procedure Act ,
Broker-Dealer ,
Chevron Deference ,
Coinbase ,
Conflicts of Interest ,
Cryptoassets ,
Cyber Attacks ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Insider Trading ,
Institutional Investors ,
Internal Controls ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Loper Bright Enterprises v Raimondo ,
Market Manipulation ,
Pay-To-Play ,
SCOTUS ,
SEC v Jarkesy ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
SolarWinds
Overview: Investment advisers that seek to manage public money need to consider the SEC’s “pay to play” rule, which restricts election-related contributions by the firms or their “covered associates” to elected state...more
8/15/2024
/ CFTC ,
Covered Person ,
Financial Industry Regulatory Authority (FINRA) ,
Government Entities ,
Governor Walz ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
MSRB ,
Pay-To-Play ,
Political Campaigns ,
Political Contributions ,
Presidential Elections ,
Securities and Exchange Commission (SEC)
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
4/5/2024
/ Aiding and Abetting ,
Audits ,
Block Trades ,
Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Criminal Liability ,
Enforcement Actions ,
ETFs ,
Failure To Disclose ,
Fiduciary Rule ,
Foreign Corrupt Practices Act (FCPA) ,
Forfeiture ,
Fraud ,
Influencers ,
Insider Trading ,
Institutional Shareholder Services (ISS) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
Material Nonpublic Information ,
Misleading Statements ,
Misrepresentation ,
Morgan Stanley ,
Offerings ,
PCAOB ,
Proxy Advisory Firms ,
Publicly-Traded Companies ,
Regulation M ,
Restitution ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
Settlement ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblower Protection Policies
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
6/23/2023
/ Asset Management ,
Broker-Dealer ,
Cherry Picking ,
Conflicts of Interest ,
Cryptoassets ,
Enforcement Actions ,
False Statements ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
Offerings ,
Popular ,
Private Investment Funds ,
Registered Investment Advisors ,
Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Special Purpose Acquisition Companies (SPACs)
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more
12/1/2022
/ Audits ,
Bitcoin ,
Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Services Industry ,
Fund Managers ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Investment Management ,
Investors ,
Market Manipulation ,
Registered Investment Advisors ,
RMBS ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Unregistered Securities
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
7/6/2022
/ Broker-Dealer ,
Compliance ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
NRSRO ,
Offerings ,
Regulatory Authority ,
Securities ,
Securities Exchange Act ,
Securities Violations
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
5/1/2022
/ Affirmative Defenses ,
Audits ,
Broker-Dealer ,
Cybersecurity ,
Due Process ,
Enforcement Actions ,
Fees ,
Financial Accounting ,
Insider Trading ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
Material Nonpublic Information ,
Mutual Funds ,
Notice Requirements ,
Offerings ,
Referral Fees ,
Registered Investment Advisors ,
Risk Alert ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations