regulation

Bernie Madoff was arrested on December 11, 2008. Many victims were permanently harmed and suffered...

Insider trading has always been a focus area for regulators. Historically, they have concentrated...

By Gabriel Edelman and Steve Murphy

On May 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a...


SEC Adopts Advice Standards and Form CRS (“Client Relationship Summary”) for Broker-Dealers and RIAs
On June 5, 2019, the SEC adopted Regulation Best Interest and the new Form CRS Relationship...