On September 26, 2025, Securities and Exchange Commission (“SEC” or the “Commission”) Chairman Paul Atkins issued a Statement on Simultaneous Commission Consideration of Settlement Offers and Related ...
Former agency staffers and experts believe the independent financial regulators’ MOU won’t “shake everything up,” but data ...
The panel discusses the evolving landscape of the SEC's enforcement practices, highlighting significant influences from recent Supreme Court rulings and increased legal challenges. These rulings have ...
Effective SEC testimony relies on strategic client involvement, clear communication, and thorough preparation to navigate the complexities of legal investigations. Clients must be actively involved in ...
Advisors and firms wrestling with the SEC’s marketing rule now have a little more clarity. The agency has released a summary of findings from examinations related to its marketing rule, revealing both ...
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