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