Everyone knows the names of the two major national stock exchanges: the New York Stock Exchange and the Nasdaq stock market. In fact, there are currently a total of 16 national stock exchanges in the United States, each with...more
As new Chair Paul Atkins begins to make his mark on the Securities and Exchange Commission, the news cycle has been heavily focused on crypto regulation. The SEC, however, is more than just a crypto regulator....more
6/3/2025
/ Broker-Dealer ,
Enforcement ,
Enforcement Actions ,
Financial Regulatory Reform ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Registered Investment Advisors ,
Regulatory Oversight ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
In 2024, global venture investment in generative artificial intelligence (Gen AI) grew to more than $56 billion, a 94% year-over-year increase from 2023. From 2023 to 2025, Nvidia’s market cap has grown from about $500...more
Now that the Private Fund Adviser Rules have been chucked into the dustbin of history, should investment advisers expect the SEC staff to give them the benefit of the doubt on expense allocation? Not likely. This is a...more
While there is rest for weary legal and compliance pros at asset managers, and as you enjoy a cool Arnold Palmer in your hammock this Independence Day, spend a few minutes thinking about how your firm can leverage this moment...more
Since the 2008 financial crisis, the SEC has made repeated encroachments into the private funds industry. Registered investment advisers (RIAs) have borne the heaviest regulatory burden: routine examinations, frequent...more