SEC Adopts Rules Requiring Daily Computation of Customer and PAB Reserve Requirements for Certain Broker-Dealers

December 30, 2024

Clearing Agency Participants Take Note: Covered Clearing Agency Resilience Rules Could Bring New Margin Requirements

October 31, 2024

SEC 2025 Exam Priorities: Private Funds, Cyber, Crypto, and New Rule Compliance

October 25, 2024

The Next Market Structure Rule Arrives: SEC Adopts New Minimum Pricing Increments and Access Fee Caps

September 26, 2024

SEC Announces Reforms for Internet Investment Advisers

April 15, 2024

SEC Announces “AI-Washing” Cases Against Investment Advisers

March 19, 2024

SEC Approves Amendments to Enhance Disclosure of Order Execution Information

March 19, 2024

SEC Adopts New Short Position Reporting Requirements for Market Participants

October 25, 2023

SEC Expands the Scope of Its Marketing Rule Examination Sweep – But Still No Guidance

June 14, 2023

The First Shoe Drops—SEC Adopts the Initial Amendments to Form PF

May 12, 2023