Encouragement to use the Wells Process should trouble arise, valuation issues remain hot with regulators, a High Court case worth your attention and much more

'There’s a broader industry shift underway and this has the potential to be transformational for transparency,' Major Lindsey & Africa's Allison Rosner says.

Senior FINRA exec flagged nine rule amendments that reside in the SRO's pipeline

Broker-dealer failed to conduct "reasonabble regular and rigorous reviews" of execution quality

"Of course, private markets are not without uncertainty. But the presence of risk is not grounds for the perpetuation of exclusion"

"We established the SEC’s AI Task Force in August to facilitate the development and deployment of AI across the Commission. This includes tools to conduct ...

This new SEC final rule, which takes effect March 18, aids compliance with the new Holding Foreign Insiders Accountable Act. This new law requires directors ...

A peer shares this document to help staff assess the financial and personal situation of aging clients

Sample this COE and you may grab some ideas for improving yours

"When implementing statutory directives, the Commission should seek to implement the plain text of the statute rather than taking expansive interpretive views that can impose ...