» Internal auditor awarded $1.25 million for reporting misconduct
18/03/24 12:51 from Jim Hamilton's World of Securities Regulation
» Private Funds Are Bigger Than Commercial Banks
18/03/24 10:00 from Compliance Building
The annual Securities and Exchange Commission request for funding from Congress is not generally very interesting. For fiscal year 2025 its seeking $2.6 billion to support over 5,000 full-time equivalents. Some of the stats are interesti...
» Supreme Court asked to decide if seized assets can be offset against disgorgement
15/03/24 13:23 from Jim Hamilton's World of Securities Regulation
» CII urges SEC to prioritize agenda items
14/03/24 12:56 from Jim Hamilton's World of Securities Regulation
» SEC ‘must’ adopt rules on crypto, Coinbase tells Third Circuit
13/03/24 15:56 from Jim Hamilton's World of Securities Regulation
» Investor Advisory Committee recommends scaling down SEC’s predictive analytics proposal
12/03/24 13:28 from Jim Hamilton's World of Securities Regulation
» SCOTUS asked to weigh in on scienter, falsity pleading requirements
11/03/24 13:10 from Jim Hamilton's World of Securities Regulation
» The SEC Still Hates the Word “May”
11/03/24 12:00 from Compliance Building
Disclosure of conflicts is a cornerstone is a cornerstone of the regulation of investment adviser. 3D/L Capital Management clearly came up short. 3D/L entered into an arrangement with an ETF manager that would provide a revenue share to ...
» New paper analyzes how lawyers, judges view GenAI
08/03/24 13:27 from Jim Hamilton's World of Securities Regulation
» SEC expands scope of Rule 605 reporting entities
07/03/24 15:06 from Jim Hamilton's World of Securities Regulation