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On October 21, 2024, the Securities and Exchange Commission’s (SEC's) Division of Examinations (the Division) released its 2025...
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In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash...
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The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
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On July 3, the Financial Crimes Enforcement Network (FinCEN) published a proposed rule (the Proposal) to strengthen and modernize...
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On April 15, the Department of Justice (DOJ) publicly released a memorandum fleshing out its previously announced corporate whistleblower...
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As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a...
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FINRA filed a rule amendment with the SEC on January 2 to propose amending FINRA Rule 3240, Borrowing From or Lending to Customers...
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In today's digital world, public and private companies are facing a growing number of cybersecurity threats while simultaneously...
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On October 3, 2023, a federal court denied the Securities and Exchange Commission’s request to certify for appeal the same court’s...
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On July 26, 2023, the Securities and Exchange Commission (SEC) adopted rules requiring registrants to disclose material cybersecurity...
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A recent DC Circuit Court of Appeals challenge to a FINRA enforcement action brings into question whether FINRA should be held...
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On June 1, 2023, the US Supreme Court held in a unanimous decision in Slack Technologies LLC v. Pirani that Section 11 of the Securities...
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On June 23, 2023, SolarWinds disclosed in its most recent Form 8-K filing that “certain current and former executive officers and...