The recent collapse of FTX and other companies transacting in cryptoassets prompted staff of the U.S. Securities and Exchange Commission to advise public reporting companies to double-check that they are adequately disclosing...more
On November 22, 2022, the U.S. Department of Labor (DOL) announced a final rule promulgated by the Employee Benefits Security Administration that allows retirement plan fiduciaries to consider environmental, social and...more
SEC Advertising Rules – Client Resource Center -
November 4 was the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule substantially revises decades old...more
11/14/2022
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Earlier this year in Jarkesy v. SEC, a split panel of the Fifth Circuit Court of Appeals ruled that the Constitution prohibits in-house Securities and Exchange Commission (SEC) adjudication of securities law violations. 34 F....more