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 ...

The SEC will zero in on investment advisors’ compliance with the marketing rule, their compensation arrangements and their recommendations of illiquid or difficult-to-value assets in its examinations ...

The floodgates are opening on legal talent from the U.S. Securities and Exchange Commission wanting to head into private practice, according to industry observers and lateral moves data. While a ...

Which SEC football programs are best-suited for success at quarterback entering the 2024 season? You've come to the right place for a preseason power ranking of sorts at the position coming out of ...

The SEC sent a warning to newly registered investment advisors’ this week to bolster their compliance programs, improve disclosures and tighten up adherence to the agency’s new marketing rule. The ...