With the past year marked by a number of enforcement actions and investigations by the U.S. Securities and Exchange Commission (SEC) and other regulators against major actors in the digital assets space. This webinar will...more
8/14/2024
/ Continuing Legal Education ,
Digital Assets ,
Enforcement Actions ,
Financial Services Industry ,
FinTech ,
Investigations ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Technology Sector ,
Webinars ,
Wells Notice
The SEC’s so-called “gag rule” — which prevents a defendant settling with the SEC from denying the SEC’s allegations — has recently come under fire. Recently the Fifth Circuit heard oral arguments in the SEC v. Novinger case...more
Join us for the next edition of FinTech University as we focus on FinTech, SEC, and OFAC investigations. This webinar will examine how the U.S. Securities and Exchange Commission (SEC) and Office of Foreign Assets Control...more
9/6/2023
/ Continuing Legal Education ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Investigations ,
Office of Foreign Assets Control (OFAC) ,
Sanction Violations ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Technology Sector ,
Webinars
NBA Hall of Famer Paul Pierce, known by basketball fans as “The Truth,” has run afoul of the SEC. No, not that SEC—Pierce played college basketball at Kansas in the Big 12. No, this would be the U.S. Securities and Exchange...more
3/20/2023
/ Athletes ,
Celebrity Endorsements ,
Cryptoassets ,
Cryptocurrency ,
Endorsements ,
Enforcement Actions ,
Failure To Disclose ,
False Statements ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Settlement Agreements ,
Token Sales ,
Unregistered Securities
Take one look at your phone and count how many different message apps you have. WhatsApp, Facebook Messenger, Snapchat, Telegram, Signal, iMessage. Those are just some of the most popular messaging applications available...more
10/17/2022
/ Broker-Dealer ,
Electronic Communications ,
Employer Liability Issues ,
Financial Services Industry ,
Instant Messaging Apps ,
Investment ,
Investment Adviser ,
Investment Funds ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations