Action Advocacy

March 31, 2025: Submission to House Financial Services Committee on Legislative Proposals to Increase Investor Access and Facilitate Capital Formation.

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February 25, 2025: Michigan State University Law School, "Reining in SEC Regulation by Enforcement."

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November 13, 2024: PIPEs Conference, "What you Need to Know About the SEC's Enforcement Campaign Against Convertible Debt PIPE Investors."

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September 19, 2024: SEC Hot Topics Webinar in Atlanta, "Reining in Regulation by Enforcement."

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May 7, 2024: Testimony before House Financial Services Committee, Capital Markets Subcommittee hearing, "SEC Enforcement: Balancing Deterrence with Due Process"

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Follow Up Responses

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October 30, 2023: Comment Letter requesting the SEC withdraw its proposed custody rule as interfering with investor preferences.

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October 25, 2023: Comment Letter urging IRS not to create tax rules impacting determination of digital assets as securities.

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October 10, 2023: Comment Letter describing harms to investors the SEC's proposed rule on predictive data analytics would cause.

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September 18, 2023: Comment Letter Urging PCAOB to withdraw proposed standards that would make auditors responsible for identifying public company noncompliance with laws and regulations.

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July 7, 2023: Comment Letter Urging SEC to Withdraw Proposed Rules Expanding Definition of Securities "Exchange"

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June 30, 2023: FOIA Request to SEC for Administrative Proceeding Adjudication Memos Improperly Shared with Enforcement Staff

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March 31, 2023: Comment Letter Urging SEC to Withdraw Proposed Rules Creating Regulatory Burdens on Commission-Free Payment for Order Flow Trading.

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November 9, 2022: SEC Rule Petition to Remove Diversity, Equity, and Inclusion Barriers Presented by "Accredited Investor" Financial Requirements.

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August 16, 2022: Comment Letter to California Department of Financial Protection and Innovation regarding regulation of crypto asset-related financial products and services.

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Action Advocacy

June 13, 2025: Compliance in the Age of AI, "AI and Compliance: The SEC’s Evolving Approach."

May 15, 2025: Securities Enforcement Forum West, moderating debate, "Crypto Task Force Roundtable."

March 31, 2025: Submission to House Financial Services Committee on Legislative Proposals to Increase Investor Access and Facilitate Capital Formation.

February 25, 2025: Michigan State University Law School, "Reining in SEC Regulation by Enforcement."

November 13, 2024: PIPEs Conference, "What you Need to Know About the SEC's Enforcement Campaign Against Convertible Debt PIPE Investors."

September 19, 2024: SEC Hot Topics Webinar in Atlanta, "Reining in Regulation by Enforcement."

May 7, 2024: Testimony before House Financial Services Committee, Capital Markets Subcommittee hearing, "SEC Enforcement: Balancing Deterrence with Due Process"

October 30, 2023: Comment Letter requesting the SEC withdraw its proposed custody rule as interfering with investor preferences.

October 25, 2023: Comment Letter urging IRS not to create tax rules impacting determination of digital assets as securities.

October 10, 2023: Comment Letter describing harms to investors the SEC's proposed rule on predictive data analytics would cause.

September 18, 2023: Comment Letter Urging PCAOB to withdraw proposed standards that would make auditors responsible for identifying public company noncompliance with laws and regulations.

July 7, 2023: Comment Letter Urging SEC to Withdraw Proposed Rules Expanding Definition of Securities "Exchange"

June 30, 2023: FOIA Request to SEC for Administrative Proceeding Adjudication Memos Improperly Shared with Enforcement Staff

March 31, 2023: Comment Letter Urging SEC to Withdraw Proposed Rules Creating Regulatory Burdens on Commission-Free Payment for Order Flow Trading.

November 9, 2022: SEC Rule Petition to Remove Diversity, Equity, and Inclusion Barriers Presented by "Accredited Investor" Financial Requirements.

August 16, 2022: Comment Letter to California Department of Financial Protection and Innovation regarding regulation of crypto asset-related financial products and services.