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)