OCIE Finds Supervision Failures at Multiple-Branch Office Investment Advisers

November 18, 2020

Ready or Not, Prepare to Start Answering Questions About Reg BI Compliance

October 21, 2019

Class Untethered: Court Strikes Class Allegations on Pleadings due to Insufficient Predominance Allegations

July 19, 2019

North American Securities Administrators Association (NASAA) Releases Model Cybersecurity Rule

May 24, 2019

North American Securities Administrators Association (NASAA) Releases Model Cybersecurity Rule

May 24, 2019

New York Launches New Consumer Protection and Financial Enforcement Division

May 8, 2019

SEC OCIE Highlights Potential Deficiencies in Firm Privacy Policies

April 25, 2019

SEC OCIE Highlights Potential Deficiencies in Firm Privacy Policies

April 25, 2019

Recent New Jersey Rule Proposal Progresses State Efforts to Impose Fiduciary Duties on Brokers

April 22, 2019

Between a Rock and a Hard Place: SEC Disclosure Analysis in Light of Yahoo

May 8, 2018