Since 1972, the SEC has prohibited defendants who settle civil enforcement actions with the SEC without admitting or denying wrongdoing from later publicly “denying the allegations in the complaint” ...

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 ...

Although the Jarkesy dissent predicts that the decision will effect a “massive sea change” 3 and legal commentators are heralding the decision’s significance, in reality, Jarkesy will have little ...

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 ...

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 ...

A former SEC counsel explains how ownership-based tokenization fits within existing securities law, even as jurisdictional ...

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 ...