Newsroom
SEC Maintains Home Court Advantage
July 9, 2016
Reforms to the SEC’s adjudicative process may be a Pyrrhic victory in light of...
Big Sticks and Broken Windows
June 24, 2016
Expect more aggressive SEC enforcement in 2016. After an active year in 2015 with...
Private Equity Funds Face Scrutiny Over Fees
May 20, 2016
Private equity funds must maintain strong operational standards in the face of increased enforcement...
Hawkish Approach to Cybersecurity
March 25, 2016
Cybersecurity was a hot topic in 2015, and will continue to be this year,...
Get Cultured: FINRA’s 2016 Examination Priorities
January 12, 2016
In its 2016 Regulatory and Examination Priorities Letter released in January, the Financial Industry...