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In a break from prior practice, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMs) has published its priorities at the start of the 2024 fiscal year. It is a strong signal that the EXAMs staff expects asset…
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Between November 2017 and November 2021, three individuals actively solicited investments in securities, including providing…
In the blitz of regulatory and financial developments that have made headlines throughout the first…
Given this week’s headlines, many emerging companies may be asking themselves: “Why am I…
On March 10, 2023, volatility resulting from concerns regarding runs on certain banks triggered trading…
On March 1, 2023, the U.S. Department of Justice (“DOJ”) unsealed an indictment against the…
In February 2023, FINRA provided an update on its review of member broker-dealer firms’ practices…
On November 2, 2022, the SEC proposed wide-ranging changes to how open-end investment companies (other…
While working out the possible impact of the SEC’s proposal to require central clearing of…
Our previous post explained the SEC’s proposal (the Proposal) to require central clearing of all…
On October 7, 2022, the SEC reopened the comment period for a dozen proposed rules…
On September 14, 2022, the SEC proposed amendments (the Proposal) to regulations for clearing agencies…
In this final post in our series, we consider some of the competing views around…