Statements by SEC commissioners indicated that maintaining privacy in financial affairs is a critical agency goal, and that individuals should be free to use privacy tools without triggering heightened scrutiny.

The SEC’s final Investor Advisory Committee meeting of the year offered an unusually clear window into the philosophical divides shaping American securities regulation.

Gibson and Welshhans told GRIP about how they view the enforcement activity in 2025 from the US regulators and contemplate the road ahead in advising firms to manage risk.

Our in-brief roundup of notable stories from the last week.

One reason for the modification is that following the settlement, FINRA adopted Rule 2241, which addresses equity research and conflicts of interest.

As the US approaches its 250th anniversary, SEC chair Paul Atkins used a speech at the New York Stock Exchange to outline a significant shift in regulatory philosophy.

Our in-brief roundup of notable stories from the last week.

The priorities fall into several core themes: conduct, fiduciary standard, compliance program effectiveness, technology, operational resilience, and cybersecurity.