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Apex and SEC battle over firm’s off-channel comms settlement
Apex argues that by applying substantially less burdensome undertakings on other similarly charged firms the SEC has breached administrative law.
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What’s in a name? Part 2: Market practice
Three-part series exploring the regulation, practice, and future of ESG/sustainability-related fund names.
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SEC adopts rules requiring ‘insider’ filings for foreign company executives
Many directors and officers of US-traded foreign private issuers must soon publicly disclose their shareholdings and trades in SEC filings.
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US SEC announces important revisions to Enforcement Manual
The Enforcement Manual serves as the foundational guide for how the SEC conducts investigations and recommends enforcement actions.
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When consultants become municipal advisers
A Pennsylvania school consultant’s brush with regulators shows how easily operational support can drift into regulated financial advice.
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GRIP Extra:
Our in-brief roundup of notable stories from the last week.
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Tokenization and SEC oversight: Six essential updates for RIAs in 2026
Tokenized securities are still securities, and the compliance expectations for RIAs are evolving rapidly.
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SEC small business committee continues ‘finders’ discussion
“Finders,” or those who find capital for small businesses but are not necessarily registered broker-dealers, have operated in a regulatory gray area.