Craig Martin

Thousand Oaks

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Articles

Take it to the Top: The SEC Rescinds Its Delegation to the Enforcement Division to Issue Formal Orders | JD Supra

1 month ago | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Key Takeaways Last week, the Securities and Exchange Commission (“SEC” or the “Commission”) issued a final rule to eliminate a 2009 delegation of authority (the “2009 Delegation”) to the Director of the Division of Enforcement to issue formal orders of investigation, a prerequisite to issuing subpoenas for documents or witness testimony.
Top 5 SEC Enforcement Developments for January 2025 | JD Supra

1 month ago | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.
Top 5 SEC Enforcement Developments for December 2024 | JD Supra

2 months ago | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.
What to Expect from the SEC During a Second Trump Administration? | JD Supra

Nov 15, 2024 | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Given the recent news about President-Elect Trump’s cabinet appointments , it is a safe bet that the SEC Division of Enforcement’s priorities will change under the new administration. Under President Biden, SEC Chair Gary Gensler pursued a broad and aggressive enforcement agenda, with critics contending that the SEC pursued regulation via enforcement in areas like crypto currencies and digital assets, ESG, cybersecurity, and AI.
Top 5 SEC Enforcement Developments for July 2024 | JD Supra

Aug 22, 2024 | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.
Lost in Translation: Advisors’ Attempts to Demonstrate Knowledge Can Hurt Client Relationships

Jul 3, 2024 | barrons.com | Craig Martin

It turns out the devil really is in the details. According to the latest research from J.D. Power, one of the major stumbling blocks preventing financial advisors from truly connecting with their clients is an overreliance on detailed analytics, technical jargon, and market minutiae instead of focusing on the individual issues and goals in clients’ lives. As... Welcome to Barron’s Advisor! Our articles are free to Barron’s subscribers and wealth management professionals.
Top 5 SEC Enforcement Developments for May 2024 | JD Supra

Jun 28, 2024 | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.
Top 5 SEC Enforcement Developments for April 2024 | JD Supra

May 21, 2024 | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.
Top 5 SEC Enforcement Developments for March 2024 | JD Supra

Apr 24, 2024 | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Each month we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: The Fifth Circuit’s stay of the SEC’s recent adoption of climate change disclosure rules for public companies; A key adviser liability ruling by the Second Circuit in SEC v. Rashid; The SEC’s charges against two investment advisors for “AI washing”; A federal court’s opinion permitting SEC v.
Top 5 SEC Enforcement Developments for February 2024 | JD Supra

Mar 26, 2024 | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Each month we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.

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