Which Comments on New Rules Get Read? Which Get Dropped? — SEC Roundup
By Nicolas Morgan and Tom ZaccaroTwo professors discuss their paper revealing whose voices are codified into law and whose are quietly discarded.
March 09, 2026
AI Is Reshaping Advisor Exams: SEC RoundupRegLabs AI founder Stan Yakov explores how AI is changing exams and enforcement — and what advisors need to know.
February 17, 2026
4 Big Cases to Watch in 2026: SEC RoundupThese "sleeper" cases will set the rules of the road for years to come.
January 29, 2026
The Hidden Math Behind SEC Penalties: SEC RoundupFines are more arbitrary than you think, a former SEC and CFTC enforcement attorney and Vanderbilt Law professor say.
December 19, 2025
SEC Seeks Supreme Court Review of Victimless Disgorgement: SEC RoundupAt issue: a Ninth Circuit ruling that upheld the agency’s use of disgorgement, even when no investors were harmed.
November 07, 2025
Is Regulation by Enforcement Dead Under Atkins?: SEC RoundupThe SEC's enforcement activity has slowed to a crawl. Two former SEC economists explain the "unprecedented slowdown."
October 28, 2025
Harvard Law Prof on Ending Quarterly Reports, Mandatory Arb: SEC RoundupHarvard Law Professor Hal Scott unpacks two current debates that will shape the future of U.S. public markets.
October 10, 2025
FINRA Attempt to Change Trading Rule May Cause More Risk: SEC RoundupFINRA will seek approval to lower the minimum account balance for frequent traders to $2,000 from $25,000.