SEC Rule 10b-5

WHIP will reward whistleblowers at an earlier stage of the prosecution. Buddy Parker discusses whether it's substantive or performative.

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

Mirko also commented on the agency's enforcement program and how compliance teams can prepare for a review of their policies and processes.

Definitions help determine whether a rulemaking will have a significant economic impact on a substantial number of small entities.

Key personnel moves across the regulated industries that we cover.

Recent SEC proposals could expand investment advisers' ability to charge performance-based fees and broaden accredited investor pathways.

Fiduciary duties, private markets, cybersecurity, retail investor protection, and emerging technologies.

A few of GRIP's legal and compliance expert sources shared their thoughts on AI, prediction markets, and reaching out to the regulators.