The Endless Wells Notice Limbo: SEC Roundup
By Nicolas Morgan and Tom ZaccaroA Wells notice is meant to signal the end of an SEC investigation. Many companies instead land in a holding pattern.
May 15, 2026
Why Everyone is Suing the SEC Now — SEC RoundupMarket participants are abandoning the decades-old "settle-and-move-on" playbook, a Vanderbilt Law professor explains.
March 17, 2026
Inside the 2026 Enforcement Manual Updates: SEC RoundupA 15-year SEC veteran breaks down what's actually changed — and what it means for advisors, BDs and defense practitioners.
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."