On June 2, 2025, the U.S. Supreme Court denied a petition for writ of certiorari filed by Alpine Securities Corp. in Alpine Securities Corp. v. Financial Industry Regulatory Authority. In doing so, the Supreme Court declined...more
6/6/2025
/ Appeals ,
Broker-Dealer ,
Constitutional Challenges ,
Denial of Certiorari ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Misappropriation ,
Motion To Enjoin ,
Non-Delegation Doctrine ,
Regulatory Authority ,
Regulatory Oversight ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
SRO ,
Trump Administration
A shift in leadership at the Securities and Exchange Commission often brings significant changes in regulatory priorities and enforcement approaches. As anticipated in our firm’s EO Watch alert, “Immediate Practical...more
3/25/2025
/ Administrative Appointments ,
Cryptocurrency ,
Executive Orders ,
Financial Markets ,
Financial Regulatory Reform ,
Investment ,
Investment Adviser ,
Proposed Rules ,
Regulatory Agencies ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Trump Administration
Changes in available financial technology are changing the way the SEC’s Division of Examinations will examine registered firms. The division’s recently released 2025 examination priorities focus on the emerging risks posed...more
2/6/2025
/ Artificial Intelligence ,
BSA/AML ,
Data Privacy ,
Disclosure Requirements ,
FinTech ,
Innovative Technology ,
Machine Learning ,
Regulatory Agenda ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation