New York-based firm was charged by the SEC for not adequately disclosing pre-IPO discussions with a potential acquisition target
You have to go back nearly 40 years to when the U.S. Supreme Court ruled in a case that created the so-called Chevron doctrine, in ...
Chevron “puts a thumb on the scale” for the agency in enforcement matters. Federal courts freed from the need to grant the agency deference could ...
Avoid describing currency holdings as only “cash” if they include foreign notes when revealing your ETF portfolios
Commission 'takes its cybersecurity obligations seriously,' Gensler claims
SEC Chairman Gary Gensler has said TCRs are essential to the Commission's "work as a cop on the beat"
An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations
Time will reveal if the Labor Department proves successful in finalizing its latest fiduciary duty proposal, but if some industry comments hold the day, the ...
The Commission has released a new set of 10 FAQs tied to the short disclosure form that investment advisers and broker-dealers must share with their ...
The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short