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May 16, 2024
“Jack Bogle, Haystacks, and Putting the Interest of the Clients First” Prepared Remarks Before the 2024 Conference on Emerging Trends in Asset Management Gary…
April 24, 2024
On April 3, 2024, the US Securities and Exchange Commission ("SEC") brought its first enforcement action against a "stand-alone" SEC registered investment adviser...
April 19, 2024
On April 3, 2024, the US Securities and Exchange Commission (“SEC”) brought its first enforcement action against a “stand-alone” SEC registered investment adviser (“RIA”) for violations...
February 29, 2024
Angels and IPOs: Remarks Before the Small Business Capital Formation Advisory Committee Commissioner Hester M. Peirce February 27, 2024
February 27, 2024
Angels and IPOs: Remarks Before the Small Business Capital Formation Advisory Committee Commissioner Hester M. Peirce February 27, 2024
August 23, 2023
The US Securities and Exchange Commission (SEC) indicated this summer that it plans to introduce proposals to regulate conflicts of interest associated with artificial intelligence...
January 17, 2023
Editor’s Note: From time to time, ComplexDiscovery highlights publicly available or privately purchasable announcements, content updates, and research from cyber, data, and legal...
December 9, 2022
On November 7, 2022, Judge Paul J. Barbadoro of the United States District Court for the District of New Hampshire granted the Securities and Exchange Commission's (SEC)...
November 16, 2022
November 15, 2022- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Oversight of Financial Regulators: A Strong Banking and Credit...
October 3, 2022
The Securities and Exchange Commission in 2019 issued significant new rules and interpretations addressing the standards of conduct for broker-dealers, in the form of Regulation Best...