Vital Briefings and Strategic Perspectives

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Securities Contributors

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Cybersecurity Contributors

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Thursday, May 02, 2024

Groups press CFTC on risks of AI in financial markets, caution on overregulation

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By Lene Powell, J.D. Accelerated use of “black box” artificial intelligence in financial markets could cause oversight challenges and market...
Wednesday, May 01, 2024

CFTC amends capital and financial reporting requirements for SDs and MSPs

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By Anne Sherry, J.D. The CFTC finalized rules intended to make it easier for swap dealers and major swap participants to comply with financ...
Tuesday, April 30, 2024

CFTC Commissioner Johnson urges vigilance in addressing AI integration risks at FIA L&C Panel

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By Elena Eyber, J.D. CFTC Commissioner Kristin N. Johnson delivered opening remarks at the FIA L&C Panel by emphasizing the significanc...
Monday, April 29, 2024

SEC sued over dealer rule’s impact on liquidity pools

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By Anne Sherry, J.D. Two crypto industry groups are suing the SEC over the agency’s Dealer Rule, which requires market participants who perf...
Friday, April 26, 2024

DOL’s final fiduciary rule gets mixed reviews from industry groups

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By Suzanne Cosgrove The Department of Labor this week issued a final rule that defines the role of an investment advice fiduciary for purpos...
Thursday, April 25, 2024

Rulemaking petition seeks to cut 13F filing period by 90 percent

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By Rodney F. Tonkovic, J.D. Three groups representing the interests of over 2,400 public companies have filed a rulemaking petition asking t...
Wednesday, April 24, 2024

MSRB moves forward on market regulation proposals

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By Anne Sherry, J.D. At its recent quarterly meeting, the Board of Directors of the Municipal Securities Rulemaking Board advanced several m...
Tuesday, April 23, 2024

SOX prohibition on record tampering applied outside of securities context

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By Anne Sherry, J.D. A pair of provisions inspired by Enron’s document destruction have applicability beyond the securities context. The D.C...
Monday, April 22, 2024

The Panopticon is here: Legal org sues Gensler over CAT rule

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By Rodney F. Tonkovic, J.D. The National Center of Public Policy Research filed a complaint looking to block the SEC's Consolidate Audit...
Friday, April 19, 2024

PCAOB staff offers observations, recommendations for auditors’ evaluation of audit evidence

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By John Filar Atwood The PCAOB issued a staff report that highlights deficiencies the staff has observed in auditors’ evaluation of audit ev...
Thursday, April 18, 2024

SEC enforcement director warns that fear of missing out on AI can elevate investor risk

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By John Filar Atwood Crypto and SPACs are recent examples of where intense interest in an emerging technology or product increased investor ...
Wednesday, April 17, 2024

Supreme Court decision in Macquarie clarifies ‘pure omissions’ in securities fraud

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By Lene Powell, J.D. In its April 12 decision in Macquarie Infrastructure Corp. v. Moab Partners, L.P. , the Supreme Court clarified that pr...
Tuesday, April 16, 2024

CFTC Ag committee meeting taps agency’s farming roots

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By Mark S. Nelson, J.D. The CFTC’s Agricultural Advisory Committee (AAC) recently met in Overland Park, Kansas to discuss agricultural lendi...
Monday, April 15, 2024

Pure omissions cannot support private securities fraud claims without misleading statements, Supreme Court rules

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By Lene Powell, J.D. In a unanimous opinion, the Supreme Court ruled that absent a misleading statement, pure omissions are not actionable a...
Friday, April 12, 2024

CFTC Commissioner Johnson advocates for responsible AI integration in financial markets

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By Elena Eyber, J.D. CFTC Commissioner Kristin N. Johnson delivered keynote remarks at the NYU AI Convening, highlighting the importance of ...
Thursday, April 11, 2024

PCAOB proposes standardizing disclosure of firm and engagement metrics and modernizing PCAOB reporting framework

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By Elena Eyber, J.D. The PCAOB has released two proposals aimed at enhancing audit firm transparency, bringing consistency to the disclosure...
Wednesday, April 10, 2024

A closer look at SEC’s jury win in Terraform crypto fraud action

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By Lene Powell, J.D. In the SEC’s big jury trial win against Terraform Labs PTE Ltd. and its former CEO, Do Kwon, the jury found that false ...
Tuesday, April 09, 2024

In light of its stay, SEC asks court to deny motions for emergency stay of climate rules

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By Rodney F. Tonkovic, J.D. Citing its own stay, the SEC filed an omnibus opposition to all of the motions to stay its climate disclosure ru...
Monday, April 08, 2024

Better Markets takes on detractors of SEC’s AI-focused predictive analytics proposals

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By John Filar Atwood Better Markets has written to the SEC to offer a defense of the agency’s predictive analytics proposals against critics...
Friday, April 05, 2024

SEC stays climate-related disclosures

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By Rodney F. Tonkovic, J.D. The SEC issued a stay of its final rules requiring climate-related disclosures pending the completion of judicia...