November 19, 2024
SEC Charges Robo-Adviser with Marketing Rule Violations
November 18, 2024
SEC Crypto Enforcement: Past and Future Tense
November 13, 2024
Update on Nasdaq and NYSE Rulemaking to Curb Excessive Reverse Stock Splits
November 12, 2024
SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds
November 12, 2024
Greg Cioffi and Jeff Berman Publish Article in Private Funds CFO
November 11, 2024
Financial Services Firm Affiliates Settle Five SEC Enforcement Actions for Allegedly Misleading Customers and Failing to Act in their Best Interests
November 7, 2024
Seward & Kissel releases fourth edition of SMA Snapshot Report
November 5, 2024
Paul Miller & Casey Jennings author article on privacy & cybersecurity considerations for investment advisers for IAA
November 5, 2024
SEC Charges Investment Company, CEO and Board Member for Alleged Misleading Statements Regarding Use of Artificial Intelligence
November 4, 2024
SEC Division of Examinations Announces 2025 Examination Priorities
November 4, 2024
SEC Charges Adviser with Failing to Follow ESG Investment Criteria
November 1, 2024
SEC Division of Examinations Releases its 2025 Examination Priorities
October 31, 2024
Employment Litigation Roundup: October 2024
October 31, 2024
The Bristol Myers Decision: A Harsh Reminder of Registered Holder vs Beneficial Owner Actions
October 30, 2024
Multi-Strat Considerations