Tom Zaccaro

September 05, 2025

Who Actually Needs to Register as a Broker-Dealer? — SEC Roundup

July 30, 2025

Cracks in the CAT: Court Rules Against SEC’s Massive Surveillance Tool — SEC Roundup

June 24, 2025

Staff Gone Rogue: Federal Action Without Commission Approval — SEC Roundup

May 22, 2025

New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC Roundup

April 25, 2025

Ray of Hope Emerges for 'Forever Bars': SEC Roundup

April 16, 2025

SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC Roundup

March 21, 2025

Is the MSRB Unconstitutional? — SEC Roundup

March 04, 2025

Short Seller Challenges SEC on Free Speech: SEC Roundup

January 31, 2025

Father-Son Lifetime Bar Suit Heats Up: SEC Roundup

December 20, 2024

DC Circuit Ruling Deals Blow to FINRA's Disciplinary Authority: SEC Roundup