- Regulation
- Technology
- Resources
Latest News
SEC Rule 17a-1
-
SEC’s Atkins doubles down on cautious regulation in FT interview
“…in more recent years [the SEC] was not grounded in precedent [or] predictability. It would shoot first and then ask questions later,” Atkins said.
-
Coinbase’s fight with SEC escalates as OIG admits deleting text messages
In its legal filing, Coinbase said it seeks the court's intervention "to ensure that all available measures are taken to preserve and produce responsive records.”
-
DOJ charges Chinese tech executive and financial adviser over $100m pump-and-dump scheme
The alleged operation involved impersonating investment advisors and creating false Whatsapp boards to lure investors in.
-
GRIP Extra: FDA targets "deceptive" pharma advertising, Canada's OFSI toughens penalty stance
Our in-brief roundup of notable stories from the last week.
-
Chairman Atkins reaffirms SEC regulatory tack in Paris speech
At an inaugural OECD conference, Atkins defended the SEC’s shift in priorities, and both criticized and praised EU policies.
-
Court sends SEC short-selling rules back for review
An appeals court upheld the SEC’s authority to tighten oversight of short-selling, but ordered the regulator to re-do its cost–benefit sums.
-
SEC enforcement update: Lessons on compensation-driven conflicts
Recent cases highlight the SEC's continuing focus on how financial incentives influence employee recommendations.
-
Private capital’s balance: Uyeda on valuation, access, and oversight
In remarks at SIFMA’s Private Markets Valuation Roundtable, SEC Commissioner Mark T Uyeda argued that private and public markets are mutually reinforcing, not rivals.