During a House Committee hearing, lawyers testified on the effectiveness of FINRA, as they consider a bill to fold it into ...

On July 31, 2024, the Securities and Exchange Commission (“SEC”) announced that it agreed to settle allegations that a California-based broker-dealer sold in excess of $13 million in “L bonds,” a ...

Accounting and auditing enforcement activity declined sharply in 2025 at both the Securities and Exchange Commission and the ...

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an ...

SEC Chairman Paul Atkins called for clear cryptocurrency regulations in the United States during remarks in Washington, D.C., ...

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...

Discover Regulation U's impact on bank loans and securities purchases. Learn about leverage limits, lender requirements, and exemptions for improved investment decisions.

The Securities and Exchange Commission warned brokerages Monday to expect tougher examinations for compliance with the new broker investment advice standard. In a statement released Monday by the SEC ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The Securities and Exchange Commission is reversing course on the agency’s previous “regulation by enforcement” approach to cryptocurrency, SEC Commissioner Hester Peirce said March 5. “We are trying ...

Acting SEC Chair Mark Uyeda is pausing the commission’s defense of its climate disclosure rule, asking a federal appeals court to hold off on scheduling arguments while the regulator weighs its ...