Harvard Law Prof on Ending Quarterly Reports, Mandatory Arb: SEC Roundup
By Nicolas Morgan and Tom ZaccaroHarvard Law Professor Hal Scott unpacks two current debates that will shape the future of U.S. public markets.
July 30, 2025
Cracks in the CAT: Court Rules Against SEC’s Massive Surveillance Tool — SEC RoundupThe SEC’s Consolidated Audit Trail just got a major reality check from the 11th Circuit Court of Appeals.
June 24, 2025
Staff Gone Rogue: Federal Action Without Commission Approval — SEC RoundupAdministrative proceedings are continuing with the same flaws, with the Enforcement Division apparently emboldened to act without SEC authorization.
May 22, 2025
New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC RoundupFormer SEC Commissioner Troy Paredes discuss the commission's evolving approach to financial innovation and digital asset regulation.
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.