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SEC Roundup &
Capital Ideas

SEC Roundup 41: How Crypto Custody Created SEC Advisor Overreach

SEC Roundup 41: How Crypto Custody Created SEC Advisor Overreach

SEC Roundup 41: How Crypto Custody Created SEC Advisor Overreach

Mar 10, 20230 min read

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

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

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

Feb 27, 20230 min read

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

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

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

Feb 10, 20230 min read

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

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

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

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Jan 21, 20231 min read

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