Keener, Almagarby, and the Scope of the “Dealer” Definition: Potential Implications for Fund Managers and other Investors

June 10, 2024

SEC Adopts Amendments to Reg S-P

May 23, 2024

SEC Approves Amendments to Enhance Disclosure of Order Execution Information

March 19, 2024

SEC Finalizes Rule Requiring Securities Loan Reporting

October 30, 2023

SEC Adopts New Short Position Reporting Requirements for Market Participants

October 25, 2023

SEC Proposes Rules Limiting the Use of Artificial Intelligence by Registered Investment Advisers and Broker-Dealers

August 1, 2023

SEC Proposes Rules Limiting the Use of Artificial Intelligence by Registered Investment Advisers and Broker-Dealers

August 1, 2023

SEC Proposes Major New Cybersecurity Rules for Market Participants

March 29, 2023