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Crypto's Capital Markets Revolution: Insights From GSR's Josh Riezman — The Crypto Exchange Podcast
A New Brand of Uncertainty? — PE Pathways Podcast
JONES DAY TALKS®: Real Assets Roundup: A New Look at Real Estate, Energy, and Infrastructure - Episode 1
Treating Compliance Like an Asset
Daily Compliance News: June 17, 2025, The JBS Goes Public Edition
(Podcast) The Briefing: Who Owns Jack Nicklaus? Lessons for The Creator Economy From a Brand Battle
The Briefing: Who Owns Jack Nicklaus? Lessons for The Creator Economy From a Brand Battle
Foreign Correspondent Podcast | The America First Investment Policy and What it Means for Investors
LathamTECH in Focus: How Should Crypto Companies Be Thinking About New Laws?
Podcast - Navigating the New Landscape of Private Equity in Healthcare
The Preferred Return Podcast | Balancing Act: Strategies for GPs and LPs in Today's Market
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and Sold? (Part 1)
2025 Oil Market Outlook: What OPEC, U.S. Shale, and Natural Gas Trends Mean for the Year Ahead
2025 Perspectives in Private Equity: AI & Technology
2025 Perspectives in Private Equity: Sports
Foreign Correspondent: An FDI Podcast | Mapping the National Security Landscape for Investors
Scaling Sustainable Fuel for the Future | Insights with Niels Jensen
AdvisorEsq Podcast Series - Episode 10 - Planning Ahead: The Valuation Equation
[Podcast] Private Market Talks: Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
The enforcement results for the first six months of the new administration show that while the Securities and Exchange Commission (“SEC”) has instituted substantially fewer new enforcement actions as compared to the same...more
These days, artificial intelligence is everywhere we look, and the financial services industry is no different. As AI use increases, regulatory bodies are updating their rules and guidelines detailing how companies should and...more
On March 6, 2024, by unanimous vote, the Securities and Exchange Commission (SEC) adopted changes to Rule 605 under Regulation NMS, the provision that previously required only entities defined as “market centers” to publish...more
On July 26, 2023, the Securities and Exchange Commission (SEC or Commission) narrowly approved (3-2) a proposed rulemaking under the Securities Exchange Act of 1934 (Exchange Act) and the Investment Advisers Act of 1940...more
In Frayce v. BMO Investor Line Inc. et al, 2023 ONSC 16 [Frayce], the Ontario Superior of Justice refused to certify a class proceeding brought by aggrieved investors to address the controversial practice of "trailing...more
SEC staff recently served up a juicy staff bulletin covering the standards of conduct for broker-dealer and investment adviser conflicts of interest. The staff bulletin includes 13 Q&As categorized into five different...more
Gone are the days when you had to walk into a physical branch to open a brokerage account. Each trade used to cost money, and account minimums were high. Not anymore. Now any American with internet access and a bank account...more
MUTUAL FUND DISTRIBUTION – TODAY’S AGENDA - - Multiple Distribution Channels - Methods of Compensating for Distribution and/or Services - Sales Loads - Rule 12b-1 Fees/Service Fees - Revenue Sharing - Sub-transfer...more
On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed significant amendments to the rules under the Investment Advisers Act of 1940 (Advisers Act) governing investment adviser advertisements and...more
It’s been nearly five months since the Securities and Exchange Commission (“SEC”) approved Regulation Best Interest: The Broker-Dealer Standard of Conduct (“Reg BI”). As discussed in our June 27, 2019 Client Alert, Reg BI...more
One of the Securities and Exchange Commission’s priorities under Chair Clayton’s leadership has been protection of retail investors, including through rigorous enforcement of microcap fraud. Consistent with that focus,...more
On September 9, 2019, the states of New York, California, Connecticut, Delaware, Maine, New Mexico and Oregon, and the District of Columbia (collectively, the States) filed a complaint for declaratory and injunctive relief...more
On June 5, 2019, the SEC adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with broker-dealers and investment advisers. The focal point of this...more
Much has happened since we last reported on the Department of Labor’s Fiduciary Rule. The compliance deadline was extended 18 months to July 1, 2019. A federal appellate court vacated the Fiduciary Rule in its entirety. The...more
The Securities and Exchange Commission (“SEC”) has released a set of proposed rules governing relationships between investment professionals and their clients. The proposed rules—a hefty 1,000 pages with 1,800 footnotes— seek...more
The SEC has proposed rulemaking and regulations targeted at the relationship between investors and their investment professionals. We previously reported on the U.S. Court of Appeals for the Fifth Circuit vacating the...more
In the six months since Securities and Exchange Commission (SEC) Chairman Jay Clayton requested public comments on standards of conduct for investment advisers and broker-dealers, industry participants, investors and other...more