August 2016 – Securities Alert You’ve Been Warned: Ignoring FINRA Rules in Favor of Recent Second Circuit Precedent May Invite Disciplinary Action Securities & Derivatives Alert
August 2016 – Securities Alert High Frequency Trader Sentenced in First Criminal “Spoofing” Case Securities & Derivatives Alert
August 2016 – Securities Alert Judge Rakoff's Order Is a Strong Warning to Parties and Their Lawyers to Supervise Private Investigation Activities Securities & Derivatives Alert
June 2016 – Securities Alert SEC Fines Morgan Stanley $1 Million for Failing to Secure Client Data Securities & Derivatives Alert Jason A. D’Angelo and Patrick Johnson
June 2016 – Securities Alert FINRA to Expand Registration Requirements for Developers of Algorithmic Trading Strategies Securities & Derivatives Alert Christopher P. Greeley
June 2016 – Securities Alert The CFTC Amends Cleared Swap Recordkeeping and Reporting Rules Securities & Derivatives Alert Christopher P. Greeley
June 2016 – Securities Alert FINRA Adopts New Rule 2272 Regarding Securities Offers and Sales on Military Installations Securities & Derivatives Alert Howard R. Elisofon and Gregory J. Lullo
June 1, 2016 – Securities Alert Divided Appellate Court Rebuffs Challenges to the SEC’s Administrative Proceedings Securities Alert Therese M. Doherty
December 10, 2014 – Securities Alert Second Circuit Narrows the Government's Ability to Prosecute Insider Trading Securities Alert Therese M. Doherty, Arthur G. Jakoby
May 2014 – Securities Alert SEC Scrutinizes Fee and Expense Practices at Private Equity Fund Advisers Private Fund Alert
February 20, 2014 – Securities Alert Court Decision Makes Fund Managers Engaged in Insider Trading Personally Liable for Fund Trading Profits Securities Alert Howard R. Elisofon
February 2014 – Securities Alert SEC Issues No-Action Letter Relaxing Broker-Dealer Registration Requirements For M&A Brokers Securities Alert
March 2013 – Securities Alert U.S. Supreme Court Limits Timing of Federal Enforcement Actions Securities Alert Therese M. Doherty, Arthur G. Jakoby
February 2012 – Securities Alert CFTC Finalizes Changes to CPO and CTA Registration and Compliance Rules Arthur G. Jakoby, Therese M. Doherty
