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On April 16, the Securities and Exchange Commission (SEC) issued a concept release soliciting public comment on a comprehensive review of...
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The Securities and Exchange Commission (SEC) approved the joint industry proposal (Proposed Amendment), spearheaded by Consolidated Audit...
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In a candid fireside chat at the 2026 SIFMA Compliance and Legal Annual Conference, Securities and Exchange Commission (SEC or...
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For the first time in nearly a decade, the Securities and Exchange Commission (SEC) updated its Enforcement Manual (Manual), which has...
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The Securities and Exchange Commission (SEC) issued a conditional exemptive order that grants targeted relief from several requirements...
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The US Court of Appeals for the Eleventh Circuit (Eleventh Circuit) recently vacated the Securities and Exchange Commission’s (SEC) 2023...
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The Financial Industry Regulatory Authority (FINRA) is updating Rule 6860(a)(2) so that industry members who use time stamps more...
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On July 7, Judge Alan Albright of the US District Court for the Western District of Texas granted the Securities and Exchange...
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On June 11, the Securities and Exchange Commission (SEC) requested a stay of proceedings in a pending class action lawsuit challenging...
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Securities and Exchange Commission (SEC) Chairman Paul S. Atkins recently directed SEC staff to conduct a review of the Consolidated...
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On February 10, the Securities and Exchange Commission (SEC) granted relief exempting industry members from reporting a natural person’s...