Securities Law
Meryl Wiener on the SEC Examination Priorities for 2019
March 7, 2019Warshaw Burstein partner Meryl Wiener examines the newly announced SEC Examination Priorities for 2019. She outlines what SEC registered entities, from established broker-dealers to newly-formed hedge funds, should consider in dealing with a routine examination by the SEC (as opposed to an examination for cause, which will be covered in a future podcast). Meryl notes […]
Read More
Professor John Coffee of Columbia Law Joins Insider Trading Task Force
November 2, 2018Professor John Coffee of Columbia Law School speaks with WallStreetNorth’s John Metaxas (Columbia Law ’84) about the state of insider trading law. Professor Coffee has been asked to join a task force to develop proposals to update this area of the law. The task force is to be chaired by former U.S. Attorney Preet Bharara […]
Read More
Meryl Wiener on the SEC’s proposed “Best Interest Rule”
July 6, 2018Warshaw Burstein partner Meryl Wiener speaks with John Metaxas about the “Best Interest Rule” proposed by the Securities and Exchange Commission. Facebook Twitter LinkedIn
Read More