J. Eric Prather practices in the Broker-Dealer Regulatory & Enforcement Group at the firm.

Publications

“Investment Adviser Conflicts Under the SEC’s New Enforcement Paradigm,” Bloomberg Law, June 2022

“SEC Seeks to Shorten the Standard Settlement Cycle to T+1,” SRZ Alert, Feb. 10, 2022

“SPAC Litigation Alert: CEO of Acquisition Target Charged in First Criminal Indictment Connected to a De-SPAC Transaction,” SRZ Alert, Aug. 9, 2021

“SPAC Litigation Alert: SPAC Sponsor and CEO Agree to Pay Civil Penalties and Forfeit Sponsor Shares Following SEC’s Charge of Disclosure and Due Diligence Failures,” SRZ Alert, July 20, 2021

“Federal Banking Regulators Update Guidance on Model Risk Management Practices for AML and Sanctions Compliance,” SRZ Alert, June 10, 2021

“SPAC Litigation Alert: SEC Cautions SPAC Participants that Claims of Reduced Liability Exposure Are Overstated,” SRZ Alert, April 13, 2021

“Broker-Dealers and Mutual Funds: Increased Regulatory Focus on Suspicious Activity Monitoring and Reporting Requirements,” SRZ Alert, April 1, 2021

“SEC Staff Bulletin Highlights AML Risks Associated with Low-Priced Securities Trading in Omnibus Accounts,” SRZ Alert, Dec. 14, 2020