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penalty amount (approximate):

disgorgement amount (approximate):

January 17, 2020

Federal Register: SEC Proposes Rule Amendments Designed to Expand Access to Private Capital Markets

The SEC proposal to amend the definitions of "accredited investor" in Rule 501(a) of Regulation D and "qualified institutional buyer" under Rule 144A to increase accessibility to private capital markets was published in the Federal Register.
January 17, 2020

FINRA Names New Executive Vice President and Head of Enforcement

FINRA named Jessica Hopper as the new Executive Vice President and Head of Enforcement. Ms. Hopper is replacing Susan Schroeder who stepped down in September 2019.
January 17, 2020

FDIC and OCC Remind Banks of Importance of Cybersecurity

The FDIC and OCC reminded financial institutions of the importance of implementing sound cybersecurity risk management principles that include both (i) preventative controls and (ii) preparation for worst-case scenarios to maintain business continuity.
January 17, 2020

SEC Commissioner Robert J. Jackson Jr. to Step Down from Agency

The SEC announced that Commissioner Robert J. Jackson Jr. will step down from his position on February 14, 2020.

Commentary by Steven Lofchie
January 17, 2020

Broker-Dealer Disciplined for Lax Oversight of Payments from Customer Accounts

A broker-dealer settled FINRA charges after two of its registered-representatives stole customer funds by redirecting wire transfers or checks from customers' accounts.
January 17, 2020

Broker-Dealer Settles FINRA Charges for Misreporting Short Positions in Equity Securities

A broker-dealer settled FINRA charges for misreporting short positions in equity securities between March 31, 2016, through October 14, 2016.
January 17, 2020

FINRA Proposes Allowing Firms to Clear Certain Debt Transactions Internally

FINRA proposed amending Rule 11900 ("Clearance of Corporate Debt Securities") to provide an exception to certain corporate debt securities transactions.
January 17, 2020

FINRA Recaps Monthly Disciplinary Actions

In its January disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities laws and rules.
January 16, 2020

OFAC Warns Firms to "Wind Down" Certain Transactions with Iran

OFAC issued an FAQ on the wind-down period for activities proscribed by Executive Order concerning certain sectors of the Iranian economy.
January 16, 2020

NFA Provides 2020 Guidance on Affirmation Obligations for CPO/CTA Exempt Entities

The NFA provided guidance on the annual affirmation obligations for commodity pool operators and commodity trading advisors that are exempt from CFTC registration.

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