Paul A. Lieberman Articles
Paul A. Lieberman has a distinguished legal practice devoted to client-centric representation in the financial services industry, including broker-dealers, ...
Year in Review: Securities Law Trends for 2021
Date: January 19, 2022
In the past year, we discussed a number of ways that startups and other small businesses can raise the capital needed...
Regulators Approve Cybersecurity Incident Reporting Notification Rule (“CIRN”) for Banks
A Final Rule requiring banks to report certain cybersecurity incidents within 36 hours was approved by the FDIC, the Board...Examining SEC Enforcement Trends Can Boost Your Compliance Efforts
SEC Chair Gary Gensler recently highlighted the pivotal role that enforcement plays in achieving the SEC’s overall mission... In recent...Failing to Understand Your SAR Reporting Obligations Can Result In Costly Penalties
The SEC recently brought another enforcement action this time against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer, for violating...
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