Rules and Regulations

  • SEC Seeks Public Comment on Issues Posed by Non-DVP Settlement and Digital Assets under the Custody Rule

Litigation

  • SEC Settles Enforcement Action Against Investment Advisory and Broker-Dealer Firm for Conflict of Interest Violations
  • SEC Settles with Talimco, LLC for Breaching Fiduciary Duties in Standing on Both Sides of a Mortgage Loan Participation Transaction

If you have any questions regarding the matters covered in this publication, please reach out to any of the lawyers listed below or your usual Davis Polk contact.

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