Beware of Double Jeopardy in SEC Proceedings: SEC Roundup
By Nick Morgan and Tom ZaccaroAfter federal court litigation, the SEC may seek to bar you for the same conduct.
January 09, 2024
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC RoundupFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.
December 19, 2023
How Charitable Works and Philanthropy Connect Alger to Its CommunityAlger CEO Dan Chung shows how giving back helps the financial industry and those communities that advisors serve and live in.
November 30, 2023
Marketing Rule Among 2024 Enforcement Priorities: SEC RoundupFormer SEC lawyers from five different cities present advice for those looking to stay clear of the regulator.
November 21, 2023
iCapital Brings Alternative Investment Opportunities to AdvisorsCEO Lawrence Calcano shares how technology innovation and education may help advisors and their clients identify new opportunities in the alternative investment marketplace.
October 19, 2023
How CapWealth Fought 12b-1 Fee Charge: SEC RoundupCapWealth founder Tim Pagliara explains how his firm prevailed over the regulator in federal court.
October 06, 2023
Unicorns May Be Dragged Into Public Markets: SEC RoundupThe SEC is considering a rule changing how shareholders are counted, with big implications for private companies.
September 05, 2023
New Private-Funds Rules Hit With Court Action: SEC RoundupSeveral industry groups filed an action in a federal appellate court challenging the SEC's recent private funds rules.