{"id":1126,"date":"2021-05-12T18:08:01","date_gmt":"2021-05-12T18:08:01","guid":{"rendered":"http:\/\/localhost\/?p=1126"},"modified":"2021-06-11T00:51:02","modified_gmt":"2021-06-11T00:51:02","slug":"pun-ishment-by-sec-and-finra-enforcement-actions-in-march-2021","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/05\/12\/pun-ishment-by-sec-and-finra-enforcement-actions-in-march-2021\/","title":{"rendered":"Pun-ishment by SEC and FINRA: Enforcement Actions in March 2021"},"content":{"rendered":"<p>When you think about it, puns are kind of like securities enforcement actions. They could make you groan, they could make you laugh or they could make you think\u2014causing you to say, \u201cOh, I see\u201d (which is different from the SEC\u2019s OCIE).<\/p>\n<p>In the latest edition of <em>NCSP<\/em>\u00a0<em>Currents,\u00a0<\/em>we explore\u00a0the connection of puns and other plays on words with SEC and FINRA enforcement actions and initiatives.<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/portalresource\/lookup\/poid\/Z1tOl9NPluKPtDNIqLMRV56Pab6TfzcRXncKbDtRr9tObDdErC3Cn03!\/fileUpload.name=\/NSCP%20Currents%20April%202021%20REPRINT%20Rubin%20Gordon.pdf\">Read more here.<\/a><\/p>\n<p>Contributors:<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Brian-L-Rubin\">Brian L. Rubin<\/a>,\u00a0<a>brianrubin@eversheds-sutherland.com<\/a><\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Andrea-L-Gordon\">Andrea L. Gordon,\u00a0<\/a><a>andreagordon@eversheds-sutherland.com<\/a><\/p>\n<h1><\/h1>\n","protected":false},"excerpt":{"rendered":"<p>When you think about it, puns are kind of like securities enforcement actions. They could make you groan, they could make you laugh or they could make you think\u2014causing you to say, \u201cOh, I see\u201d (which is different from the SEC\u2019s OCIE). In the latest edition of NCSP\u00a0Currents,\u00a0we explore\u00a0the connection of puns and other plays &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/05\/12\/pun-ishment-by-sec-and-finra-enforcement-actions-in-march-2021\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Pun-ishment by SEC and FINRA: Enforcement Actions in March 2021<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":16,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1126","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.10 - aioseo.com -->\n\t<meta name=\"description\" content=\"When you think about it, puns are kind of like securities enforcement actions. They could make you groan, they could make you laugh or they could make you think\u2014causing you to say, \u201cOh, I see\u201d (which is different from the SEC\u2019s OCIE). In the latest edition of NCSP Currents, we explore the connection of puns and other plays\" \/>\n\t<meta name=\"robots\" content=\"max-image-preview:large\" \/>\n\t<meta name=\"author\" content=\"Grace O&#039;Hanlon\"\/>\n\t<link rel=\"canonical\" href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/05\/12\/pun-ishment-by-sec-and-finra-enforcement-actions-in-march-2021\/\" \/>\n\t<meta name=\"generator\" content=\"All in One SEO (AIOSEO) 4.9.10\" \/>\n\t\t<meta property=\"og:locale\" content=\"en_US\" \/>\n\t\t<meta property=\"og:site_name\" content=\"Legal Perspectives on Current Regulatory Developments for BDs and IAs |\" \/>\n\t\t<meta property=\"og:type\" content=\"article\" \/>\n\t\t<meta property=\"og:title\" content=\"Pun-ishment by SEC and FINRA: Enforcement Actions in March 2021 | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta property=\"og:description\" content=\"When you think about it, puns are kind of like securities enforcement actions. They could make you groan, they could make you laugh or they could make you think\u2014causing you to say, \u201cOh, I see\u201d (which is different from the SEC\u2019s OCIE). In the latest edition of NCSP Currents, we explore the connection of puns and other plays\" \/>\n\t\t<meta property=\"og:url\" content=\"https:\/\/bdia.pli.edu\/index.php\/2021\/05\/12\/pun-ishment-by-sec-and-finra-enforcement-actions-in-march-2021\/\" \/>\n\t\t<meta property=\"article:published_time\" content=\"2021-05-12T18:08:01+00:00\" \/>\n\t\t<meta property=\"article:modified_time\" content=\"2021-06-11T00:51:02+00:00\" \/>\n\t\t<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n\t\t<meta name=\"twitter:title\" content=\"Pun-ishment by SEC and FINRA: Enforcement Actions in March 2021 | Legal Perspectives on Current Regulatory Developments for BDs and IAs\" \/>\n\t\t<meta name=\"twitter:description\" content=\"When you think about it, puns are kind of like securities enforcement actions. They could make you groan, they could make you laugh or they could make you think\u2014causing you to say, \u201cOh, I see\u201d (which is different from the SEC\u2019s OCIE). 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