JD Supra

The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

For years, the Commodity Futures Trading Commission (CFTC or Commission) has exercised broad discretion in investigating and prosecuting potential violations of the law, with its sanctions and ...
Crowdfund Insider

CFTC Looks to Update Wells Notification Process

A CFTC Wells notice is a formal notification from the Commodity Futures Trading Commission (CFTC) indicating that its staff is recommending an enforcement action. The same process is used by the ...
JD Supra

SEC Goes Back to the Wells Process

Our White Collar, Government & Internal Investigations Team examines recent Securities and Exchange Commission (SEC) reforms to enhance fairness and transparency in the Wells process by expanding ...
InvestmentNews

WisdomTree Wells Notice could center on ESG representations

WisdomTree is facing a likely SEC enforcement action related to three ESG-themed ETFs that the company liquidated earlier this year. The company disclosed in a regulatory filing Tuesday that it had ...
Shacknews

Coinbase (COIN) CEO reveals the crypto company has received an SEC Wells notice

It would appear that Coinbase is circling the wagons and getting ready for what could be upcoming penalization from the U.S. Securities and Exchange Commission (SEC). Today, CEO Brian Armstrong shared ...
The National Law Review

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...