SEC Operations

"The new Registered Fund Statistics report includes more than 70 data tables reflecting aggregated and anonymized public and non-public information filed on Form N-PORT. It is the ...

"If the dominant model becomes billion-dollar unicorns being backed by many rounds of VC funding and then going public as mega cap companies, it would ...

"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"

Compliance officers must remain vigilant, and their bosses need to provide “the proper resources” to compliance departments, counseled the SEC Division of Examinations Director Richard ...

"A proposed FINRA rule could exacerbate the problem by preventing non-lawyers from getting compensated to represent investors in arbitration proceedings"

"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"