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The CAT is in danger, says Barron’s
The Consolidated Audit Trail (CAT) is a powerful tool to detect market manipulation, but the industry is complaining about skyrocketing costs.
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Senate committee hearing provides hints on Atkins’ approach as SEC Chair
Atkins is expected to move to a far more market-friendly regulatory environment.
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House reintroduces bill allowing RIAs to transmit electronic documents by default
The Improving Disclosure for Investors Act has bipartisan support.
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Mark Uyeda pledges to return SEC to ‘gold standard’ rulemaking
Acting Chair described 2025 as a year of “tremendous potential” in address to ICI Management Conference.
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SEC’s Names Rule gets updated compliance dates
Modification allows for compliance based on timing of annual fund disclosure and reporting obligations tied to fund’s fiscal year-end.
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Your essential guide to the dos and don’ts of Form ADV
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
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SEC sustains most NYSE judgments against Lek Securities Corporation
LSC argued that the NYSE’s monetary penalties were excessive, and judgments related to faulty supervision were redundant.
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SEC grants additional accommodations for draft registration statements
The move is aligned with the SEC’s recent push to “make IPOs attractive gain.”