What: SEC Chairman Paul S. Atkins delivered testimony before the U.S. Senate Appropriations Subcommittee, outlining […]
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 […]
What: The SEC announced that it settled charges against two investment advisers for making false […]
As detailed more fully in Regulatory Notice 23-19, FINRA has adopted a short-form membership application […]
What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]
Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]
