@Enforce_Update

Securities Regulation & Enforcement @quinnemanuel | Co-Host #inSecuritiesPod | Adjunct @URLawSchool | Nonprofit Board Member | Opinions=mine; RTs≠endorsements

linkedin.com/in/kurt-wolfe-501b536/
Joined January 2014
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680Media
One of the things I talked to Kurt Wolfe and Chris Ekimoff about during the #inSecuritiespod was instilling trust in our markets. Take a listen:
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#KULaw’s Alex Platt was featured on the @PractLawInst’s podcast “PLI inSecurities” where they discussed Platt’s research on SEC whistleblowers. Listen here: rockcha.lk/pli-platt
Alex Platt

ALT Alex Platt

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.@PerianneDC joins the #inSecuritiesPod to explain why 2024 is the year #crypto goes mainstream. Tune in wherever you listen to #podcasts. 🍏podcasts.apple.com/us/podcas… @DigitalChamber @PractLawInst @EkimoffCPA @quinnemanuel #bitcoin #bitcoinetf #cryptocurrency #cryptotrading #BTC
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Should @SECGov's PDA Rule be approved? Brett Redfearn (@Observatory13) joins the #inSecuritiesPod to discuss #SEC rulemaking and the Predictive Data Analytics rule proposal. 🎧 Tune in podcasts.apple.com/us/podcas… #artificialintelligence @EkimoffCPA @PractLawInst @quinnemanuel
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Is @SECGov's recent Predictive Data Analytics rulemaking proposal just Reg BI for #AI? @JamesFTierney joins the #inSecuritiesPod to talk about the "Netflix Problem" in securities regulation. Tune in to learn more: pli.edu/insecurities/episode… @PractLawInst @quinnemanuel @EkimoffCPA
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Please join Quinn Emanuel Co-Chair of the SEC Enforcement practice Michael Liftik and Associate Mari Henderson as they interview the former Regional Director of the SEC’s San Francisco Office, Marc Fagel. Watch here: lnkd.in/eT7sqs_9 #nofirmlikeours #QEwebinar
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Today we announced awards of more than $104 million to seven individuals whose information & assistance led to a successful SEC enforcement action & related actions brought by another agency. The combined award is the fourth largest in the SEC’s whistleblower program’s history.

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MORE: Fidelity, WisdomTree, VanEck and Invesco/Galaxy have all re-filed their spot bitcoin ETF applications, naming Coinbase as the exchange. Nothing from BlackRock or ARK yet.
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It is very sad to lose @harveypitt. Harvey taught me something very useful. He said "You can summarize U.S. securities laws in two sentences. One: IT shall be illegal. Two: The SEC decides what IT is. #harveypitt @HesterPeirce @GUFinPolicy @ltabb
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Join our webinar tomorrow - "Form and Substance: Avoiding Pitfalls Under New Form PF", to gain valuable insights on navigating the new Form PF amendments recently adopted by the U.S. Securities Exchange Commission. Time: 1-1:30 pm (ET) Register: lnkd.in/e_pupK3y
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SEC Could Hire More RIA Examiners With Budget Boost: Gensler at.law.com/pCK4fS?cmp=share_…
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If you love listening to dry lawyers (oh! and an accountant!) discuss even drier (talking hours-old toast) regulations and the abusive overuse of the word "emaciate" by... someone... 🫣 then this is THE preeminent podcast episode for you!
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[Video] Paredes on SEC Policies & Priorities jdsupra.com/legalnews/parede…
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Getting lots of questions re stablecoins & SEC: Facts & circumstances of course, but SEC should defer to Congress, which is actively considering the issue. In the meantime, we & other regulators could hold public roundtables. Enforcement actions aren't the way to write the rules.
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On the latest episode of the #inSecuritiesPod, Chris and Kurt chat with former @SECGov Commissioner Troy Paredes about securities regulatory policy, rulemaking & enforcement, including #cryptocurrencies and #ESG. Listen: pli.edu/insecurities/episode… @EkimoffCPA @Enforce_Update
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.#ICYMI, our @quinnemanuel panel discussion on the Blaszczak II case is now available on @YouTube. We offer a different take: At the end of the day, Blaszczak II doesn't really change the game. @TheJusticeDept & @SEC_Enforcement will still look to crack down on #InsiderTrading.
Quinn Emanuel Urquhart & Sullivan, LLP@quinnemanuel7 Feb 2023
“A Material Development How Blaszczak II changes the insider trading landscape” Our expert panel, explore the insider trading landscape post-Blasczcak II and discuss the implications for insider trading prosecutions going forward: youtu.be/QbCOFaFAQK0 @Enforce_Update
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Quinn is hosting the Association of Corporate Counsel’s #webinar, “Data Privacy and #Cybersecurity Updates: Recent Changes to Utah Laws & Practical Tips, Tricks, & Lessons From Trial Lawyer Experiences” on March 14 at 12pm MT. Contact Dawn David at dawndavid@quinnemanuel.com
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Kurt Wolfe retweeted
FINRA
@FINRA3 Feb 2023
There has been significant growth in the number of financial products, primarily ETPs, that are linked to, and seek to track, the performance of alternatively weighted indexes—often referred to as "smart beta" indexes. Here's what you need to know ▶️ bit.ly/3dCq5EH
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Today, the Division of Examinations published a Risk Alert on observations from broker-dealer examinations related to Regulation Best Interest. It highlights deficiencies noted during examinations, as well as examples of weak practices that could result in deficiencies.

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Information from a whistleblower who knows of possible securities law violations can be among the most powerful tools in the law enforcement toolkit of @SECGov. Submit tips, complaints, & referrals here 👇

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