SEC Operations

"Unnecessary redaction of final award determinations in the name of whistleblower confidentiality limits public information about the awards, and that, in turn, insulates the awards ...

A federal judge in Washington, D.C., is due to make a decision in a case that could shed light on improper behavior within the SEC’s ...

The SEC will welcome your comments on its latest regulatory agenda until Sept. 14

"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...

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