Welcome to Our Resource Library

SEC Chair Gary Gensler recently highlighted the pivotal role that enforcement plays in achieving the SEC’s overall mission... In recent remarks at the Securities Enforcement Forum, SEC Chair Gary Gensler highlighted the pivotal role that enforcement plays in achieving the SEC’s overall mission. Using a football analogy, Gensler noted that without referees, teams (without fear […]

The SEC recently published its much-anticipated report on the January 2021 GameStop (GameStop or GME) stock trading frenzy and the larger meme-stock phenomenon... The Securities and Exchange Commission (SEC) recently published its much-anticipated report on the January 2021 GameStop (GameStop or GME) stock trading frenzy and the larger meme-stock phenomenon. The report, entitled Staff Report […]

The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The Securities and Exchange Commission (SEC) recently brought an enforcement action against a biopharmaceutical executive for a form of insider trading known as “shadow trading.” The term refers to when […]

Scarinci Hollenbeck’s New York Securities Offerings Law Group Successfully Assists 8i Enterprises Acquisition Corp. in $57.5 Million IPO Lyndhurst, NJ, April 9, 2019 – Scarinci Hollenbeck’s Securities & Investment Banking law group successfully provided legal support to the underwriters of the offering of securities of 8i Enterprises Acquisition Corp. which raised a total of $57.5 […]

The Securities and Exchange Commission (SEC) recently proposed a rule that would require registered investment advisers to adopt or amend their current business continuity and transition plans (BCP). Under the proposed BCP rule, the plans must be reasonably designed to address operational risks related to a significant disruption in the adviser’s business. Why the need […]

Highlighting that anyone can become a whistleblower on securities fraud under the right circumstances, the Securities and Exchange Commission (SEC) recently announced that it plans to award between $475,000 and $575,000 to a former company officer. As previously discussed on the Scarinci Hollenbeck Business News Blog, the SEC’s whistleblower program provides financial incentives to individuals […]

The Securities and Exchange Commission (SEC) recently issued its 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program. Per our prior posts, the SEC whistleblower program, which was first launched in 2011, incentivizes the reporting of high-quality, original information that results in an SEC enforcement action with sanctions exceeding $1 million. Whistleblower awards can range […]

The definition of “accredited investor” may be headed for some significant changes. The Securities and Exchange Commission’s (SEC) Investor Advisory Committee is the latest group to call for an overhaul. This blogger likes the recommendation described below that restricts investors individually from risking too high a percentage of their personal assets in private placements.  Such […]