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Monday, April 17, 2017
Matt Comstock addresses how regulators and industry groups are understanding and addressing blockchain technology and its implications for the securities, futures and related financial sectors in the Hyperledger blog
Regulators and industry groups continue their efforts to understand blockchain technology and its implications for the securities, futures and related financial sectors. Importantly, regulators and industry groups have not yet advocated for or against any particular type of blockchain technology. Rather, efforts have largely centered on defining what, in the view of those regulators and industry groups, blockchain technology is, how it may be used in the financial services industry, and what the regulatory implications are for its use.

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Wednesday, April 12, 2017
Steve Crimmins comments in Law360 article “SEC Signals No Patience For Fake News On Stocks” (subscription required)
The U.S. Securities and Exchange Commission filed charges Monday against a whopping 27 respondents for disguising promotions as independent research in a move experts said is calculated to send a message the market can't ignore and could be a sign of more cases to come.

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Tuesday, April 11, 2017
Steve Crimmins to serve on Columbia Law School Conference panel addressing Insider Trading & Enforcement
Steve Crimmins to serve on Columbia Law School Conference panel addressing Insider Trading & Enforcement

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Tuesday, April 4, 2017
Crimmins and Goldfarb author Columbia Law School Blue Sky Blog article addressing the Supreme Court and securities fraud
The Supreme Court has long held that “[s]ilence, absent a duty to disclose, is not misleading under Rule 10b-5.”[1] And such a duty to disclose only arises where necessary to make a statement already made not misleading, thus allowing companies to “control what they have to disclose … by controlling what they say to the market.”[2] On March 27, 2017, in Leidos, Inc. v. Indiana Public Retirement System, the court granted certiorari to determine whether, in the absence of any need to correct a prior statement, there exists a separate disclosure duty under Item 303 of SEC Regulation S-K that is actionable under Section 10(b) of the Securities Exchange Act and Rule 10b-5.[3] In Leidos, the U.S. Court of Appeals for the Second Circuit held, contrary to two other circuits, that Item 303, which pertains to disclosure of so-called “soft” information like trends or uncertainties, does create such a disclosure duty.[4]

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Thursday, March 30, 2017
Tina Hill and Brian Walsh author NSCP Currents article advising commodity professionals to address information systems security now
If you are a Commodity Pool Operator (“CPO”) or Commodity Trading Advisor (“CTA”) and you have not made strides to put an effective Information Systems Security Program (“ISSP”) in place, doing so should be blinking red on your dashboard.

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Monday, March 27, 2017
Kate McGrail speaks to InvestmentNews regarding regulatory overlap and duplication
Enforcement panels at regulatory conferences can sometimes be dull. But complaints about multiple regulatory penalties for the same violation brought the crowd to life last week in San Diego.

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Monday, March 27, 2017
Brian Walsh comments on Market Intel and its role at CFTC Reorganization
Acting CFTC Chairman J. Christopher Giancarlo is signaling his intention to increase the agency's market intelligence capabilities by moving certain surveillance functions to the Division of Enforcement, derivatives lawyers told Bloomberg BNA.

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Friday, March 24, 2017
E-Discovery Innovator Patricia Wallace Joins Murphy & McGonigle
Murphy & McGonigle, P.C. announced today that Patricia Wallace has joined the firm as a partner in its Richmond, VA office. Ms. Wallace’s arrival continues the strong trend of talent joining the financial services law firm that was founded in 2010.

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Thursday, March 9, 2017
Murphy & McGonigle earns award in National Association of Women Lawyers Inaugural YouTube Video Contest. Click here for video.
Murphy & McGonigle earns award in National Association of Women Lawyers Inaugural YouTube Video Contest.

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Thursday, February 2, 2017
Kate McGrail comments on data analytics in InvestmentNews article “Regulators use big data to turn up enforcement heat”
Securities regulators are turning to big data to increase their enforcement firepower, a move that could eventually help them more easily uncover breaches of suitability in investment product sales.

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