Burr Forman

OCTOBER 15, 2021

In remarks this week at SEC Speaks, SEC Investor Advocate Rick Fleming mused that the “gamification” of securities trading might pose an undue risk that exploits a potential loophole in Regulation Best Interest (“Reg. This past August, the SEC sought information and comment on “gamification.” Recall that Reg.

Trade 52

Trade Retail Financial Institution Education 52

Burr Forman

FEBRUARY 9, 2021

In that week when GME swung wildly from $76 to $347 per share, regulators issued several investor alerts warning about the risks of short-term trading in volatile assets. The SEC Investor Alert (SEC Jan. Broking firms are not obliged to offer trading facilities to clients. 28, 2021), here. 29, 2021) is here.

Trade 52

Trade Financial Institution Retail Financial services 52

Troutman Sanders

MARCH 11, 2024

On March 6, the Commodity Futures Trading Commission (CFTC) Chair Rostin Behnam called on Congress to pass legislation addressing regulatory jurisdictions in the crypto industry. He further clarified that if a digital asset is not a security, it is classified as a commodity. For more information, click here.

Financial services 52

Financial services Garnishment Lender Banks 52

Burr Forman

OCTOBER 28, 2021

Admissions In SEC Settled Actions. In remarks at the SEC Speaks conference, new SEC Enforcement Director Gurbir Grewal said he’s bringing back admissions in SEC settled actions to help spur accountability. Gamification Of Securities Trading: Big Risk Or Just Evolution? They’re Baaaack!

Lawyers 52

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Collection Industry News

JUNE 13, 2022

These concerns have been expressed through high-visibility statements that have included congressional testimony and speeches before trade associations and consumer advocacy groups—all of which have raised the alarm by financial intermediaries of the threat of imminent and severe federal enforcement actions.

Retail 40

Retail Manufacturing Trade Financial services 40