SEC
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SEC Speaks 2026: Focus on materiality and investor harm
The agency signaled that it intends to rely less on enforcement to define policy and more on clear, workable rules to reduce regulatory complexity and improve coordination across regulators.
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The SEC’s new arithmetic – fewer cases, sharper consequences
Enforcement at the SEC has slowed in volume, but for those who fall within its narrower focus, the consequences may be more severe than before.
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Podcast: Valerie Mirko on FINRA, due process and her testimony before the House Financial Services Committee
Valerie Mirko discusses how the SEC’s enforcement agenda is evolving under Chair Paul Atkins, and much more.
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SEC Staff publishes additional Names Rule FAQs
This article provides a brief historical background of the Names Rule and a summary of the current obligations of registered funds.
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SEC Staff proposes N-PORT amendments and extends compliance dates
If adopted, the amendments in the Proposal would remove Names Rule-related reporting requirements previously adopted in 2023.
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GRIP Extra: CFTC sues states over prediction markets, OCC rescinds big bank recovery planning guidelines
Our in-brief roundup of notable stories from the last week.
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SEC enforcement highlights valuation risks in affiliated loan transactions
After reviewing a recent case, Janaya Moscony offers lessons learned and explains why this matters for advisers.
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Framing the Issue: A US strategic bitcoin reserve
Global financial destablilizer or shock absorber?