"I was surprised to learn when I came to the SEC that the Commission actually didn’t have its own best execution rule"
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March proved to be a tough month for the SEC in two federal courts. One judge accused the Commission of “gross misconduct” and, in a ...
Here are some preventative measures you can take to help prevent similar issues at your firm
With mergers and acquisitions continuing apace in the industry, know that CCOs can play a key role whenever an advisory ownership change occurs
A new SEC final rule addresses internet advisers, a former CCO faces legal troubles, analysis of the current ESG environment and much more
The last two years have seen the SEC adopt rules providing investors with disclosures on emerging risks like climate control, cybersecurity and SPACs
A lot has changed since 2003, especially with technology and the internet, so SEC commissioners have approved a new final rule revising its two decades-old ...
Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...
"I was pleased to support these amendments because they modernize a 22-year-old rule to better protect investors in a digital age"