Bill Myers
More firms than ever are getting registered with the SEC as they grow and look to diversify their investor base – at the same time that the regulator’s scrutiny of the market has intensified.
Five separate amicus briefs extend, underline arguments against most sweeping changes since Dodd-Frank.
'Whenever you see the SEC taking action across rulemaking, exams and enforcement... it should be seen as a clear signal that this is a big focus for them, and you need to get your house in order...'
Cash recoveries down slightly from record-setting fiscal 2022, but caseload rises by 8%.
The two-stage process is based on analysis of common risks and 'transmission channels.'
‘Each part of the rule is unnecessary, unworkable, and unduly burdensome,’ lawyers say in opening brief.
Penalties top $5bn, Grewal seeks 'three Es.'
Study guide promises closer looks at marketing rule, valuations
As Washington pressures the industry, advice-of-counsel is becoming 'fertile ground' for litigation.
‘Quality controls and audit standards are necessary to maintaining this essential gatekeeping role,’ SEC says in fifth ‘gatekeeper’ case in two years.