Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...
The practice of dealers showing clients different prices for the same securities on electronic bond-trading platforms is drawing the scrutiny of the U.S. Securities and Exchange Commission, which is ...
The U.S. Securities and Exchange Commission (SEC) has announced a slew of new proposed rules and amendments for private funds and investment advisers, which—if enacted as proposed—will significantly ...
On June 13, 2022, the Securities and Exchange Commission (“SEC”), announced that it had instituted a settled administrative proceeding accusing several investment advisers (the “Advisers”) that ...
According to a new report from the Washington Post, questions are being raised about an “obscure financial entity” with ties to an off-shore bank that is deeply involved in the merger between Trump ...
Most market participants are keenly aware that SEC investigatory powers are broad. However, the breadth of Staff’s powers, especially when it comes to fact gathering abroad, can surprise even the most ...
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