Publications
“SEC Proposes New Cybersecurity Risk Management Rules for Registered Investment Advisers, Registered Investment Companies and Business Development Companies,” February 2022
“Ubiquitous Use of WhatsApp and Other Unrecorded Internal Communications Result in Substantial Penalties in Recent SEC, CFTC Actions,” January 2022
“Money Market Funds: The SEC Seeks Comments for Proposed Rule Amendments,” December 2021
“Is SEC ‘Regulation by Enforcement’ for the Digital Asset Industry Next Up?” August 2021
“Robinhood vs. Massachusetts’ Secretary of the Commonwealth: A Battle for the Ages over Massachusetts’ New Strict Fiduciary Duty Rule,” May 2021