Sullivan
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Past Events

SEC Establishes Retail Fraud Working Group to Combat Fraud Targeting Everyday Investors
When: July 9, 2026
People: David E. Danovitch, Michael T. Dyson and Erika J. Dennery
FINRA’s Small-Cap Sweep: Strategic Steps for Broker-Dealers
When: December 2, 2025
People: David E. Danovitch, Michael T. Dyson, Meghan Rohan, Christopher K. Shields and Erika J. Dennery
FINRA Launches Targeted Review of Small-Cap Foreign Offerings
When: October 24, 2025
People: David E. Danovitch, Michael T. Dyson, Meghan Rohan and Erika J. Dennery
SEC and CFTC Continue Their Lucrative Pursuits of Penalizing Unapproved Communication Methods
When: August 27, 2024
People: David E. Danovitch, Michael T. Dyson, John Hunt and Erika J. Dennery
SEC Proposes Amendments to Rule 35d-1 Under the 1940 Act
When: May 26, 2022
People: Rachael L. Schwartz
SEC Adopts New Valuation Rule under the 1940 Act
When: December 14, 2020
People: Rachael L. Schwartz