I Knew You Were Trouble – Taylor Swift Avoids FTX Trap in Promoting Unregistered SecuritiesDecember 12, 2023InsightsSecurities LawBy: Jean-Pierre Bado Our office was abuzz earlier this week as one of our colleagues reminisced about his trip to Tampa to attend Taylor Swift’s latest show. Our colleague—whom we will not identify as we strive to protect the innocent—would not stop raving about the lyrics! The dancing! The costumes! Clearly, Taylor’s show has something to offer fans of any Summary of SEC’s New Rules for Clearing Agency GovernanceChris TNovember 17, 2023Securities LawOverview The Securities and Exchange Commission (SEC) has announced the adoption of new rules aimed at enhancing the governance of registered clearing agencies. These rules are designed to mitigate conflicts of interest within their boards of directors or equivalent governing bodies. SEC Chair’s Statement SEC Chair Gary Gensler expressed his support for these rules, emphasizing their role in strengthening theSummary of SEC v. GovilChris TNovember 3, 2023Securities LawBackground of the Case In the case of Securities & Exchange Commission v. Govil, the United States Court of Appeals for the Second Circuit made a significant decision impacting the Securities and Exchange Commission (SEC)’s enforcement abilities. This case revolved around allegations by the SEC that the defendant, associated with the company Cemtrex, misled investors and misused their funds forPosts navigationNewer posts