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Fraud › Investment Adviser › Financial Markets

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Bradley Arant Boult Cummings LLP

SEC Enforcement in the Second Quarter of 2025

Bradley Arant Boult Cummings LLP on

In May 2025, we summarized the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement activity during the first quarter of the new presidential administration. With the second quarter now concluded, and Paul...more

Mayer Brown Free Writings + Perspectives

SEC Investor Advocate Report on Objectives

Mayer Brown Free Writings + Perspectives on

The Securities and Exchange Commission’s Office of the Investor Advocate recently issued its fiscal year 2025 Report on Objectives. The Report is one of two annual reports required to be filed by the Investor Advocate with...more

Foley & Lardner LLP

Artificial Intelligence, the SEC, and What the Future May Hold

Foley & Lardner LLP on

With the growing use of artificial intelligence (AI) in financial markets, broker-dealers and investment advisers need to pay attention to the risks posed by AI on firms’ compliance with federal securities laws. While machine...more

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