PLI's inSecurities Podcast - Opening the Securities Enforcement Answer Book
PLI's inSecurities Podcast: A View From the Inside
PLI's inSecurities Podcast: Whistling the Same Tune: Building an Effective Whistleblower Program
PLI's inSecurities Podcast - Commissioner Jaime Lizárraga’s Core Values
The Justice Insiders Podcast: Feds Danske to a New Tune
Crypto, Best Ex, Gatekeepers, Enforcement: The Biggest Stories From 2022
CYBER THURSDAY!
Crypto and the SEC - The Crypto Exchange Podcast
Coffee & Regs - Digital Assets: Trading & Compliance for Cryptocurrency
The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory
CorpCast Episode 1: Sections, 204, 205 and In re Numoda
What is Bitcoin 2.0?
Insider Trading News - Ralph Siciliano discusses US v. Newman
Types of Crowdfunding
Keith Ross on HFT, Reg NMS and Dark Pools
Open for Business: SEF Competition Heating Up in the New Market Structure
Open for Business: SEFs Navigate the New Regulatory Environment
In July, two Federal District Courts in Texas issued orders staying the effective date of the Department of Labor’s (DOL) fiduciary rule (Fiduciary Rule)....more
The Department of Labor has issued the: The exemptions provide relief from prohibited compensation resulting from fiduciary recommendations to “retirement investors”—private sector retirement plans, participants in those...more
The new “retirement security rule” package, issued by the U.S. Department of Labor (the “DOL”) on October 31, 2023, is the latest chapter in an almost 15-year effort by the DOL to amend the five-part test in its 1975...more
The US Department of Labor has released its package of proposed changes to the regulation defining nondiscretionary fiduciary advice and to the exemptions for conflicts and compensation for investment recommendations to...more
Secretary of Labor Alexander Acosta indicated that the Department of Labor will try to roll out a new fiduciary rule, in coordination with the Securities and Exchange Commission’s rollout of their own version of a fiduciary...more
Turns out the Fed’s plate isn’t just full of decisions surrounding interest rates. It’s got a massive portfolio of mortgage and Treasury securities that needs some serious tending, too....more
The recent US rejection of the TPP will have wide-reaching effects in Asia. Among them is the strong likelihood of 80s-style trade warring between Japan and the US....more
SEC Issues Guidance on Mutual Fund Fee Structure - The Securities and Exchange Commission’s (SEC) Division of Investment Management recently issued a guidance update addressing disclosure issues and certain procedural...more