» Rule amendments address investment advisers operating exclusively over the Internet
28/03/24 12:11 from Jim Hamilton's World of Securities Regulation
» SEC urges Supreme Court to deny Musk cert petition
27/03/24 12:09 from Jim Hamilton's World of Securities Regulation
» Chancery erred in applying MFW framework to cleanse merger
26/03/24 13:00 from Jim Hamilton's World of Securities Regulation
» Stay of SEC climate regulation dissolved for now
25/03/24 12:33 from Jim Hamilton's World of Securities Regulation
» Social Media Pump and Dump is Not Illegal (?)
25/03/24 12:00 from Compliance Building
Pump and Dump schemes brought the fiduciary standard to light. In SEC v Capital Gains Research Bureau the US Supreme Court said a pump and dump scheme by an investment adviser violated its fiduciary duty. More recently, the SEC published...
» House committee hearings target SEC ‘overreach,’ escalate push for agency reform
22/03/24 13:37 from Jim Hamilton's World of Securities Regulation
» MDL process will decide where SEC climate rule challenge is heard
21/03/24 12:29 from Jim Hamilton's World of Securities Regulation
» SEC’s “Gag Rule” Survives Another Challenge
20/03/24 22:00 from Compliance Building
As part of the Wells Report in 1972, the Securities and Exchange Commission adopted its no-admit/no-deny policy. The SEC, in agreeing to settle a case, relinquishes the opportunity to present the case in court. The defendant relinquishes...
» CFTC Commissioner Johnson highlights potential and risks of AI at MRAC’s Future of Finance Subcommittee meeting
20/03/24 14:38 from Jim Hamilton's World of Securities Regulation
» Court grants stay of climate rule
19/03/24 12:37 from Jim Hamilton's World of Securities Regulation