With the formation of the new College Sports Commission, things are starting to get intriguing. There is a new commission headed up by Bryan Seeley, a former United States Federal Prosecutor whose job, among other things, is...more
On June 6, 2025, the Honorable Judge Claudia Wilken approved the $2.576 billion settlement in House v. NCAA, reshaping the economics of college athletics and clearing the way for current and former Division I student-athletes...more
Noting Deficiencies, FINRA Suggests Best Practices for Reg BI Compliance - During its first-ever review of compliance with Regulation Best Interest (Reg BI), the Financial Industry Regulatory Authority (FINRA) found...more
On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more