Commentary by Ilan T. Graff
In parallel civil and criminal actions, the SEC and DOJ charged a publicly traded healthcare company and its CEO with participating in a fraudulent COVID-19 test kit scheme.
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Commentary by Ilan T. Graff
The U.S. Court of Appeals for the District of Columbia upheld a final rule promulgated by the SEC which would amend Regulation NMS to expand the content of NMS market data that would be generally available to the public.
Numerous market participants opposed an SEC proposal to further define the phrase "as part of a regular business," which would expand the definition of the terms "dealer" and "government securities dealer" (and the related registration requirements) under the Exchange Act.
SIFMA and the American Bankers Association urged the SEC to delay the effective date of a Staff Accounting Bulletin which would require firms providing custody for crypto-assets to bring those assets onto their balances sheets.
OFAC sanctioned an individual, two banks and a trading company for their ongoing support of North Korea's development of weapons of mass destruction and ballistic missile programs.