"Is going public through a special purpose acquisition company still a viable path for private companies, given the Commission’s recent final SPAC rulemaking?"
"Individual liability for disclosure failures related to AI as a security threat may therefore be of particular interest to you"
"This case is yet another illustration of the overbreadth of the pay-to-play rule and another reminder of the way the rule hampers legitimate political participation"
"The regulatory gap described, therefore, is more optical than substantive; closing it amounts to little more than grade-grubbing"
"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"
"As with the recordkeeping cases and, frankly, all our cases, we consider whether a firm self-reported and cooperated with our investigation"
"As we speak, there are investigative teams across the division poring through voluminous records to, for example, seek emergency relief to stop ongoing frauds"
"Compliance officers and their staff must remain vigilant and scan the horizon for new and emerging risks to ensure their compliance programs continue to offer ...
"The rule’s invocation of the term 'material' is a red herring"
"Rules of such broad effect should be set by the full Commission, not by staff answering only to the Chairman"