Robinhood's Chief Lawyer Balks at Plan to Rein In Trading Apps: SEC Roundup
By Nick Morgan and Tom ZaccaroRobinhood's Dan Gallagher calls the regulatory brouhaha after the meme stock frenzy a "false impetus to regulate."
June 22, 2022
Driving Excellence in Asset Management (Video)Asset Manager of the Year Award winners highlight the processes, philosophies and methods that support stellar performance.
June 22, 2022
Zooming In on Intelligent Financial Life (Video)Envestnet CEO Bill Crager, industry partners, and this year's award winners define and discuss this groundbreaking development.
June 03, 2022
Is It Possible to Disclose a Cyberattack in 4 Days? — SEC RoundupNick Morgan and Tom Zaccaro talk with ex-SEC cyber official John Reed Stark about the regulator's proposal.
May 26, 2022
Ex-SEC Chairman Says Private Fund Plan Goes Too Far: SEC Roundup"This proposal will be reviewed by the courts, there's no doubt," Harvey Pitt says.
May 13, 2022
Anti-Money Laundering Rule for Advisors May Be Revived: SEC RoundupLaurel Rimon and Braddock Stevenson, formerly of the CFPB and FinCEN, discussed whether the AML plan will resurface.
April 29, 2022
Can Federal Courts Override SEC Enforcement Actions?: SEC RoundupCivil liberties lawyer Peggy Little discusses whether SEC defendants can challenge the SEC's hearing process in court.
April 14, 2022
What Hopkins, Levine & Treichel Think of Retirement Changes in Secure Act 2.0Clients will ask about Secure 2.0, so advisors should "be prepared," one expert said in this webcast.