SEC
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SEC ends gag rule
For more than 50 years, the rule prohibited settling defendants from publicly denying the SEC’s claims.
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GRIP Extra: OSC sets examination priorities, SEC reviews FINRA short-selling proposal
Our in-brief roundup of notable stories from the last week.
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FINRA Annual 2026: Talking AI and prediction markets
Speakers tackled emerging developments in crypto, AI, prediction markets and other critical regulatory topics shaping financial services entities.
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GRIP Extra: CFTC replaces outdated swap benchmarks, ESMA moves to simplify EU reporting
Our in-brief roundup of notable stories from the last week.
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NASAA revises model advertising rules for state-registered investment advisers
Amendments show convergence between state and federal approaches, while preserving state-level oversight intended to mitigate retail investor harm.
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SEC proposes letting public companies move to semiannual reporting
The proposal is the biggest reformulation of reporting rules in decades.
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Adviser pleads guilty in $160m fraud as SEC brings parallel enforcement action
The SEC continues to bring parallel civil actions alongside criminal cases, increasing both financial and personal liability risk for advisers.
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SEC settles with Elon Musk for $1.5m over Twitter buyout
The settlement is a lukewarm end to a case in which the SEC alleged Musk avoided paying about $150m.