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Limited Time to Obtain Special Exam Waiver IARs in New York Must Now Register

Top 10 International Anti-Corruption Developments for January 2021

No-Action Relief: Investment Company Act of 1940 - Section 17(f) and Rule 17f-2

Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers

Global Anti-Bribery Year-in-Review: 2020 Developments and Predictions for 2021

AWC Serves As Reminder That Scope Of FINRA’s Advertising Rule Extends Beyond Securities

Corporate Transparency Act and The Anti-Money Laundering Act of 2020

Corporate Transparency Act and Beneficial Ownership Reporting: Here's What We Know

Regulatory Reminder: Electronic Delivery of Shareholder Reports under Rule 30e-3 of Investment Company Act

Satyam Khanna Named SEC’s First Senior Policy Advisor for Climate and ESG

New Year, Old Problem: Broker-Dealers Should Evaluate Their Supervision of Personal Device Use

SEC's Acting Chair Gives Senior Officers Subpoena Power

Effective March 2021 Investor Verification Requirements Relaxed, So Rule 506(C) Issuers Review Accredited Status Once Every Five Years

2021 Private Offerings Update - Aspects of Private Markets Securities Regulation

SEC Settlement Proves That When CCOs Spot A Problem, Silence Is Not Golden