The Commission wants the party to 'feel the financial penalty of the resolution'
The Commission's newly released regulatory agenda contains 34 items, several of which would impact IAs, B-Ds, and private fund advisers
It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue
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
The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right
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
You have until Aug. 12th to reply to a request for industry comments from the Treasury Department about your use and concerns about AI in ...