Too often regulators get bogged down in the minutiae of prescriptive laws and miss their core intent, says Teresa Goody ...

Key issues to consider before entering into a settlement with a securities regulator, including the scope of the regulators’ ...

On May 16, 2024, the SEC adopted amendments to Regulation S-P requiring broker-dealers, registered investment companies, and registered ...

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.

This complaint was first surfaced by Law.com Radar, ALM's source for immediate alerting on just-filed cases in state and ...

The SEC’s order finds that Vanguard’s disclosures failed to warn investors about tax risks tied to fund redemptions.

Secretary of Interior Doug Burgum began stripping various environmental regulations implemented by former President Joe Biden during his first day on the job.

Who is the favorite to win the SEC football championship in 2025? SEC conference odds for all 16 teams in upcoming season, ...