SEC Operations

Another topic that remains hot for the advocate is risks related to private fund investing, especially for retail investors

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 ...

The conservative majority of justices held that the Seventh Amendment to the Constitution gives defendants that right

This is the U.S. Supreme Court's 2024 decision in a case that rules defendants in an SEC enforcement action have a right to a trial ...

"Shortening the cycle also means reducing the credit, market, and liquidity risks of the clearinghouse. Lowering risks for market participants and clearinghouses, alike, reduces the ...

Regulators may not be able to keep up with the speed of artificial intelligence’s development

The rapid transformation of markets and business models due to technology is a pressing concern in chairman's view

"Also concerning is the Commission’s decision to stretch the law to punish a company that was the victim of a cyberattack. While an enforcement action ...

"One classic government failure is to seek to influence capital flows in the 'right' direction"

"It has been well documented that in the lead up to the financial crisis, pay structures often encouraged big bets that maximized short-term profits but ...