Cracks in the CAT: Court Rules Against SEC’s Massive Surveillance Tool — SEC Roundup
By Nicolas Morgan and Tom ZaccaroThe SEC’s Consolidated Audit Trail just got a major reality check from the 11th Circuit Court of Appeals.
April 25, 2025
Ray of Hope Emerges for 'Forever Bars': SEC RoundupIn four separate cases, the SEC has granted applications filed by barred professionals seeking to resume working.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
March 21, 2025
Is the MSRB Unconstitutional? — SEC RoundupThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
March 04, 2025
Short Seller Challenges SEC on Free Speech: SEC RoundupAndrew Left and his attorney are seeking regulatory clarity on an issue with First Amendment implications.
January 31, 2025
Father-Son Lifetime Bar Suit Heats Up: SEC RoundupFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
December 27, 2024
From the Red Carpet: How Prudential Advisors Focuses on Underserved ClientsPrudential Advisors' Hasan Ibrahim discusses the company’s efforts to reach underserved clients and advisors.
December 27, 2024
From the Red Carpet: How Kwanti Continues to Innovate With a Small, Dedicated TeamKwanti Founder and CEO Christophe Gauthron discusses how his company continues to develop new features with a small but dedicated team.