The Securities and Exchange Commission (SEC)’s Spring 2023 Unified Agenda of Regulatory and Deregulatory Actions (the Agenda) forecast a busy fall for the regulator, with many of the 55 final and proposed rules set for adoption or promulgation by October 2023. With October 2023 well underway, business leaders—who have been critical of both the amount and the anticipated impact of the rules in the Agenda—have an opportunity to assess the SEC’s progress and look to remaining rules with target dates through April 2024.

Continue reading the full GT Alert.

Tags: GT Insight, litigation, securities, securities and exchange commission, Securities Litigation, white collar defense and special investigations
Print:
Email this postTweet this postLike this postShare this post on LinkedIn
Photo of Steven M. Malina Steven M. Malina

Steven M. Malina, a former Senior Attorney in the SEC’s enforcement branch, focuses his practice on a variety of litigation and regulatory matters with representations of financial services industry clients, hedge fund matters, and securities and general commercial litigation. He represents officers, directors,

…

Steven M. Malina, a former Senior Attorney in the SEC’s enforcement branch, focuses his practice on a variety of litigation and regulatory matters with representations of financial services industry clients, hedge fund matters, and securities and general commercial litigation. He represents officers, directors, broker-dealers, investment advisors, commercial banks, investment banks, investment management firms, and public issuers in investigations and disciplinary proceedings initiated by the SEC, CFTC, FINRA, FDIC, NYSE, CBOE, CME, and state regulators. In addition, Steve represents clients in related investor class-action, derivative, and other litigation and arbitration. He has also conducted internal investigations on behalf of publicly traded companies and represented committees and executive officers in internal investigations. Steve has represented brokerage firms and their management in customer-initiated cases, and injunction and arbitration proceedings.

Prior to entering private practice, Steve served as First Vice President and Deputy Regional Counsel for a large financial corporation and was a Senior Attorney in the Branch of Enforcement of the U.S. Securities and Exchange Commission.

Read more about Steven M. MalinaSteven's Linkedin Profile
Show more Show less
Photo of Brittany M. Fisher Brittany M. Fisher

Brittany M. Fisher is a member of the Litigation Practice in Greenberg Traurig’s Boston office. Her practice includes commercial litigation, white collar defense, and eDiscovery matters. Prior to joining the firm, Brittany served as an Assistant U.S. Attorney in the Eastern District of…

Brittany M. Fisher is a member of the Litigation Practice in Greenberg Traurig’s Boston office. Her practice includes commercial litigation, white collar defense, and eDiscovery matters. Prior to joining the firm, Brittany served as an Assistant U.S. Attorney in the Eastern District of Virginia, where she presented evidence in jury trials and investigated mail fraud, wire fraud, bank fraud, and aggravated identity theft, among other crimes. She also worked as a litigation associate in the Washington, D.C. office of a large, international law firm.

Read more about Brittany M. Fisher
Show more Show less
Related Posts
Buildings_02
CTA Countdown: Upcoming FinCEN Filing Deadlines
September 26, 2024
Banking&FinancialServices_Proposal
FinCEN Issues FAQs on Dissolved Entities’ Beneficial Ownership Reporting Requirements
July 17, 2024
Modern building structure with curving steel
FinCEN Publishes Final Rule on Access to Beneficial Ownership Information
January 19, 2024