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Settlement › Securities Regulation › Financial Industry Regulatory Authority (FINRA)

Nelson Mullins Riley & Scarborough LLP

If You Can’t Say Something Nice (About the SEC), Don’t Say Anything at All

Nelson Mullins Riley & Scarborough LLP on

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

Polsinelli

Time to Do the Foxtrot (Three Step) SEC Establishes Improved Process for Settlement of Digital Asset Securities

Polsinelli on

The U.S. Securities and Exchange Commission (“SEC”) Division of Trading and Markets recently issued a no action letter to FINRA that may help to streamline the settlement of digital asset securities transactions by...more

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