May 16, 2025 Regulatory Background The 2019 Joint Staff Statement was issued to address the […]

Background: As some of you may know, the Trump Administration has recently identified and designated […]

What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]

What: The SEC announced charges against 12 municipal advisors for failures by the firms and […]

The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]

What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and […]

What: The SEC adopted final rules that significantly expand the definitions of “dealer” and “government […]

The United States Court of Appeals for the Fifth Circuit has vacated the Securities and […]

What: The Division of Examinations issued a Risk Alert with preliminary observations about Marketing Rule […]

Last week the SEC announced that it had settled charges against five more registered investment […]