SEC Requests Comment on BD and IA Digital Engagement Practices
The US Securities and Exchange Commission (SEC) recently published a request for information and comment on how broker-dealers and...
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SEC Rethinking SPAC Liability Regime
Acting Director of the SEC's Division of Corporation Finance, John Coates, issued a statement yesterday that could...
New SEC Adviser Marketing Rule Merges Advertising and Solicitation Rules
On December 22, 2020, the SEC released its much awaited advertising and solicitation rule amendments, merging both rules together to...
Transitioning to 2021: Impact of Biden-Harris Administration on Financial Regulation
I recently co-authored a Law360 article on the upcoming change in U.S. presidential administration, including its impact on financial...
SEC Division of Examinations Makes Statement on Recent and Upcoming Reg BI Examinations
Yesterday, the newly re-named Division of Examination (formerly known as OCIE) at the SEC released a statement noting that they...
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