Washington, D.C.--(Newsfile Corp. - December 19, 2018) - The Securities and Exchange Commission today announced that it has voted to adopt Rule of Practice 194. In general, this rule creates a ...

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 ...

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 ...