Financial Services and Regulatory Law

Scarinci Hollenbeck’s Corporate Transactions and Business practice group regularly provides content on various aspects of financial services and regulatory law. To receive our attorneys’ financial services and regulatory law articles please subscribe to our email list.

Financial Securities Attorneys to Present on de-SPACs

Dan Brecher to Speak at Strafford CLE Webinar “SPACs, de-SPACs, and Sponsor Liability: Conflicts of Interest, Mismanagement Claims, Disclosure Obligations” On Tuesday, May 2, 2023, Financial Securities attorney Dan Brecher will be speaking on a panel as part of a Strafford CLE Webinar entitled, “SPACs, de-SPACs, and Sponsor Liability: Conflicts of Interest, Mismanagement Claims, Disclosure Obligations”. The CLE webinar […]

Author: Scarinci Hollenbeck

March 2, 2023

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 remarks at the Securities Enforcement Forum, SEC Chair Gary Gensler highlighted the pivotal role that enforcement plays in achieving the SEC’s overall mission. Using a football analogy, Gensler noted that without referees, teams (without fear […]

Author: Paul A. Lieberman

November 30, 2021

What to Know About the SEC’s “Shadow Trading” Enforcement Action

The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The term refers to when […]

Author: Dan Brecher

September 30, 2021

New CFTC Guidance Proposes a Roadmap for Reduced Fines

The Commodity Futures Trading Commission recently issued new Guidance that makes it clear that companies will be rewarded for good behavior… The Commodity Futures Trading Commission (CFTC or Commission) recently issued new Guidance that makes it clear that companies will be rewarded for good behavior. The CFTC’s Division of Enforcement Guidance specifically explains how companies […]