The decision, according to multiple white collar attorneys, does much to increase certainty in how to represent clients ...

SEC staff attorneys have been required to show proof that they are active members in good standing with at least one state bar association. The directive was issued in September after the SEC's office ...

September 09, 2024 - Public companies and other regulated entities frequently use internal and outside counsel to navigate the United States Securities and Exchange Commission's ("SEC") compliance ...

“The longer the shutdown extends the more opportunity there is for problems,” said former U.S. Securities and Exchange Commission attorney Ryan Adams. U.S. Securities and Exchange Commission staff ...

Two lawyers from the Securities and Exchange Commission (SEC), Michael Welsh and Joseph Watkins, resigned on April 22 following a federal judge’s sanction and severe criticism of the regulatory agency ...

It is hard to imagine that there is a brokerage or advisory compliance official or c-suite executive who hasn’t had at least one sleepless night worrying about whether or not their firm would pass ...

A response posted to the US Securities and Exchange Commission’s Crypto Task Force page echoed concerns raised by Ripple that speculation alone should not automatically subject cryptocurrencies to ...

The US Securities and Exchange Commission (SEC) is backing away, one by one, from the volley of lawsuits and investigations it brought against cryptocurrency businesses under the Joe Biden ...

The SEC has charged 11 more individuals in a fraudulent scheme involving the use of squawk boxes to front run institutional trades. The SEC, in a civil injunctive action, alleges that five former A.B.

Jay Clayton, former SEC chairman and current U.S. Attorney, has been nominated by President Donald Trump to be the next Director of National Intelligence.

In its legal pursuit of KuCoin in 2023, New York asked the U.S. Securities and Exchange Commission to declare ether as a security, according to a document revealed among the internal SEC ...