Coming on the heels of the Commission’s PF rules’ loss in court, it’s very likely parties will see the Loper decision as an invitation to ...
Here's what your peers clicked on most last month on RCW
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The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right
This is the U.S. Supreme Court's 2024 decision in a case that rules defendants in an SEC enforcement action have a right to a trial ...
Six cybersecurity lessons to heed, did a CCO get off easy in an enforcement case, a look at the state of the industry and much ...
The case helps to define that sometimes squiggly line around CCO liability, and conjures advice for how a CCO should act when her superior shows ...
As calls increase that Washington should take a greater regulatory approach when it comes to use of artificial intelligence in financial services, a new report ...
A new SEC enforcement case contains lessons on what not to do if your firm suffers a ransomware attack
Report shows all-time record highs in IAs registered with the SEC, assets under management, and non-clerical employees