Sidley Updates

Securities Enforcement & Regulatory Report

Q3 2020

Published quarterly, Sidley’s Securities Enforcement & Regulatory Report is designed to provide actionable information and insights on key securities enforcement and regulatory developments. This report focuses on providing concise analyses of developing trends as well as overviews of notable enforcement actions and staffing changes at the SEC and other regulators.

The articles in this issue provide useful guideposts and practical suggestions for navigating the current environment. We provide insights on managing the collateral consequences of settled enforcement actions, review the regulatory framework for digital assets, and analyze FINRA’s focus on seniors and rules for options position limits. We also take stock of Dodd-Frank ten years after its enactment. Former SEC Associate Director of Enforcement and Sidley partner Steve Cohen is featured in our Q&A this issue, sharing his experience with SEC investigations during the COVID-19 era.

Inside this issue:

Collateral Consequences: Considerations When Negotiating Settlements
SEC Investigations in the Time of COVID-19: An Interview with Stephen Cohen
Digital Assets in Financial Services: Key Regulatory Considerations
Responding to FINRA’s Focus on Seniors
Position Limits for Securities Options
Ten Years Later: The Dodd-Frank Act Now
Staff Moves

View the Report

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