Webinar | September 2, 2026
12:00 p.m. – 1:00 p.m. ET
Register here.
The Securities and Exchange Commission (SEC) under the leadership of SEC Chair Atkins devoted significant time and attention during the early part of the Chair’s tenure to digital assets and, while the agency withdrew a number of pending rule proposals from…
On June 4, 2026, the Supreme Court held in a unanimous decision that the Securities and Exchange Commission is not required to show that investors suffered pecuniary loss in order to obtain a disgorgement award in a civil enforcement action.
For a detailed summary of the ruling, see our Client Alert linked here.
The SEC’s Enforcement Division Director Margaret Ryan recently delivered her first public remarks which provide helpful insight into the division’s priorities under her leadership. Director Ryan outlined her guiding principles, approach to the enforcement process, and substantive priorities. These were her first public remarks since becoming Director of the SEC’s Enforcement Division in September 2025.…
On December 5, 2025, the Securities and Exchange Commission consented to modifications to the Global Research Settlement applicable to settling firms, which has been in place since the aftermath of the dot‑com bubble bursting. The Settlement contains an Addendum with undertakings that address conflicts of interest between research and investment banking. The Addendum includes a…
On November 17, 2025, the staff of the Division of Trading and Markets (the “Staff”) of the U.S. Securities and Exchange Commission (“SEC”) issued no-action relief permitting a registered representative-owned personal services entity (“PSE”) to receive transaction-based compensation (“TBC”) without registering as a broker-dealer (“BD”) pursuant to Section 15(b) of the Securities Exchange Act of…
Under new SEC leadership, the Division’s 2026 Examination Priorities reflect a modified approach, following a reevaluation of the Division’s risk-based priorities, and a renewed focus on several traditional risk areas (including Regulation Best Interest, adherence to fiduciary standards of conduct, complex products and the Broker-Dealer Financial Responsibility Rules) as well as continued attention to emerging …
On October 7, 2025, U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) Chairman Paul Atkins presented the 25th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law at Fordham University. Chairman Atkins’ speech touched upon two topics of particular interest—the Wells process and the simultaneous consideration of settlement offers and related…
Webinar | March 20, 2025
12:00 p.m. – 1:00 p.m. EST
Register here.
Join us for the latest installment in the Banking & Financial Services Litigation webinar series, Supreme Court Roundup: Recent Decisions and Upcoming Cases. The current term of the US Supreme Court will see rulings on many important business issues, including class…
The Managed Funds Association (MFA) published a letter dated January 20, 2025, to Acting Chair Mark T. Uyeda of the US Securities and Exchange Commission, outlining several policy recommendations for the SEC’s consideration.
The MFA urged the SEC to withdraw its appeal of the “Dealer Rule,” which was vacated by the US District Court of…
On January 27, 2025, US Securities and Exchange Commission Commissioner Hester Peirce gave the keynote address at the Northwestern Securities Regulation Institute in which she offered her personal views on how public companies and, to some extent, the SEC in working with public companies might move away from “importing politics and contentious social issues” into…
