SEC Rule 10b-5

One of the most significant changes under the proposed rules would expand federal preemption to all registered securities offerings.

Andrew Dipkin argues the “retailization” of private markets is transforming fund administration from a back-office function into critical infrastructure.

For more than 50 years, the rule prohibited settling defendants from publicly denying the SEC’s claims.

Our in-brief roundup of notable stories from the last week.

Speakers tackled emerging developments in crypto, AI, prediction markets and other critical regulatory topics shaping financial services entities.

Our in-brief roundup of notable stories from the last week.

Amendments show convergence between state and federal approaches, while preserving state-level oversight intended to mitigate retail investor harm.

The proposal is the biggest reformulation of reporting rules in decades.