SEA 1934 Rule 17(a)(1) – Global Relay Intelligence & Practice

SEA 1934 Rule 17(a)(1)

Crypto

SEC’s crypto enforcement authority sustained over Coinbase’s vigorous challenges

April 8, 2024

An in-depth look at the much-anticipated ruling in the SEC v Coinbase case.

Robert A. Schwinger | Norton Rose Fulbright8 min read
Enforcement

FINRA disciplinary action update #20

July 11, 2023

Disciplinary decisions issued June 30 – July 6, 2023.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update #16

June 13, 2023

Disciplinary decisions issued June 2 – June 8, 2023.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update #14

May 30, 2023

Disciplinary decisions issued May 19 – May 25, 2023.

Thomas Hyrkiel2 min read