Alternative assets are nothing new for retirement plans. Defined benefit plans have held private equity, real estate, and commodities for decades, and ERISA itself imposes no restriction on the types of assets a plan may hold. What is new is
As federal regulators scale back enforcement and staffing, state securities regulators are positioned to fill the gap. In a recent CRC Oyster Consulting webinar, titled “Navigating the Evolution of States Securities Regulations,” Bill Riley, Director at CRC Oyster and
Authored by: Karim Sabbidine
The Supreme Court’s unanimous decision in Sripetch v. SEC keeps a major SEC enforcement tool intact: the SEC may seek disgorgement of a securities violator’s ill-gotten gains without first proving that investors suffered out-of-pocket financial losses.
Key Takeaways from Thompson Hines Investment Management Coffee Chat Featuring Nathan Lamb, Brian Lanciault, and Marc Minor.
Digital asset markets are evolving faster than the rules designed to govern them. In our latest Coffee Chat webinar, our team
On May 18, the SEC overturned a seminal settlement policy that has stood for over 50 years: remaining silent in settlement (otherwise known as the “gag rule”).
Previously, Rule 202.5(e) adopted the SEC’s policy that a civil lawsuit or administrative
Wednesday, April 293:30 – 6:00 p.m. PTWe are pleased to invite you to the virtual RIA Merger Conference, a program designed specifically for registered investment advisers. This afternoon program offers a unique opportunity to hear from dynamic industry thought leaders
Authored by: Jurgita Ashley, Julia Miller and Kellie Tomin
Welcome to the spring edition of Securities Quarterly Update, a publication that provides updates and guidance on securities regulatory and compliance issues. In this edition, we review important disclosure considerations
The SEC encouraged a discussion of advisers’ proxy arrangements in response to President Trump’s recent proxy voting executive order. In a December 11, 2025, Executive Order, President Trump directed the SEC to consider a number of actions to materially
Earlier this month, FINRA agreed to a Letter of Acceptance, Waiver, and Consent (AWC) imposing a $10 million fine and finding that, from 2018 through at least February 2024, the brokerage firm violated FINRA Rule 2341(l)(5), which generally prohibits broker-dealers
Authored by: Ernest E. Badway and Polina Pittell (law clerk)
This practice note discusses the regulation of crowdfunding intermediaries. Section 4(a)(6) (15 U.S.C. § 77d) of the Securities Act of 1933, as amended (Securities Act), added by Title
