top of page

SEC Roundup &
Capital Ideas

SEC Roundup 54: Expert Panel on Enforcement's FY2023 Cases

Nov 30, 20230 min read

SEC Roundup 54: Expert Panel on Enforcement's FY2023 Cases

SEC Roundup 53: Pop Culture and the SBF Trial

Nov 3, 20230 min read

SEC Roundup 53: Pop Culture and the SBF Trial

SEC Roundup 52: Should More IAs and BDs Fight the SEC?

Oct 19, 20230 min read

SEC Roundup 52: Should More IAs and BDs Fight the SEC?

SEC Roundup 51: SEC May Drag Unicorns Into Public Markets

Oct 6, 20230 min read

SEC Roundup 51: SEC May Drag Unicorns Into Public Markets

SEC Roundup 50: Private Funds Rules Hit With Court Action

Sep 5, 20230 min read

SEC Roundup 50: Private Funds Rules Hit With Court Action

SEC Roundup 49: Why did the SEC Punt on Saying Whether $2 Trillion Market Involves Securities?

Aug 11, 20230 min read

SEC Roundup 49: Why did the SEC Punt on Saying Whether $2 Trillion Market Involves Securities?

SEC Roundup 48: Supreme Court to Decide IA's 10 year SEC Fight

Jul 17, 20230 min read

SEC Roundup 48: Supreme Court to Decide IA's 10 year SEC Fight

SEC Roundup 47: 42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster'

Jun 30, 20230 min read

SEC Roundup 47: 42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster'

SEC Roundup 46: Can SEC Compel Law Firm to Divulge Client Information?

Jun 16, 20230 min read

SEC Roundup 46: Can SEC Compel Law Firm to Divulge Client Information?

SEC Roundup 45: US Chamber Sues SEC Over Stock Buyback Rule

Jun 1, 20230 min read

SEC Roundup 45: US Chamber Sues SEC Over Stock Buyback Rule

SEC Roundup 44: Climate Impact Rule Likely on the Ropes

May 10, 20230 min read

SEC Roundup 44: Climate Impact Rule Likely on the Ropes

SEC Roundup 43: Reg D Changes Are a Bad Idea

Apr 7, 20230 min read

SEC Roundup 43: Reg D Changes Are a Bad Idea

SEC Roundup 42: SEC Chilling Non-GAAP Financials With Heavy-Handed Approach

Mar 29, 20230 min read

SEC Roundup 42: SEC Chilling Non-GAAP Financials With Heavy-Handed Approach

SEC Roundup 41: How Crypto Custody Created SEC Advisor Overreach

Mar 10, 20230 min read

SEC Roundup 41: How Crypto Custody Created SEC Advisor Overreach

SEC Roundup 40: Is the Sweep of Advisors’ Texting Legal?

Feb 27, 20230 min read

SEC Roundup 40: Is the Sweep of Advisors’ Texting Legal?

SEC Roundup 39: Will the SEC's Proposed Reg Best Ex and Auction Mandate Benefit Investors?

Feb 10, 20230 min read

SEC Roundup 39: Will the SEC's Proposed Reg Best Ex and Auction Mandate Benefit Investors?

SEC Roundup 38: Is Your Trade Data Safe with SEC's CAT?

Jan 21, 20231 min read

SEC Roundup 38: Is Your Trade Data Safe with SEC's CAT?

Read Full Blog Post

bottom of page