Janaya Moscony | SEC32 min read
Eversheds Sutherland2 min read
Alexander Barzacanos1 min read
Julie DiMauro14 min listen
Vlada Gurvich4 min read
Vlada Gurvich4 min read
SEC Rule 17a-1
The documents to be kept and preserved include all
The documents must be retained for a period of at least five years. They must remain easily asscessible for the first two years.
When requested they must be promptly furnished to the SEC.
Could new rulemakings reshape how registrants operate in digital markets?
Janaya Moscony | SEC32 min read
The compliance industry group requested early rule input opportunities, minimization of rule ambiguity and overlap, and cognizance of compliance costs.
Alexander Barzacanos1 min read
Legal experts examined how blockchain technologies are challenging traditional regulatory models and redefining governance.
Vlada Gurvich4 min read
Efforts to engage with beneficial owners and provide them with mechanisms for influencing governance outcomes appear to be converging with a broader regulatory push for transparency.
Vlada Gurvich5 min read
Valerie talks about her experience in securities enforcement matters, SEC's 'back to basics' approach, her work in-house and what she learned working at NASAA.
Jean Hurley4 min read
Our in-brief roundup also includes Bristol Myers Squibb and BioNTech in a drug partnership, Reddit suing Anthropic for using its data, and BlackRock being removed from Texas blacklist.
GRIP3 min read
While the government efficiency crusade is slashing federal oversight and trimming bureaucracy, regulatory enforcement looks like it remains strong — but timing is key.
Kota Suzuki3 min read
"Regulation should be smart, effective, and appropriately tailored within the confines of our statutory authority," Atkins said.
Julie DiMauro3 min read