Publications
Client Alert
E-asier Delivery: SEC Proposes Regulation E-Delivery, Which Would Allow Electronic Delivery by Default
July 30, 2026
Client Alert
Supreme Court: Investor Harm Not Required for SEC Disgorgement Remedy
June 12, 2026
Client Alert
Key Takeaways from SIFMA C&L Seminar: Navigating New Technology and Regulatory Frontiers
April 29, 2026
Publications
Brokers Confront Increased Dispute Risk as AI Adoption by Self-Directed Investors Accelerates
April 8, 2026 – Daily Journal
Client Alert
SEC Streamlines Operation of Multi-Class ETFs
March 20, 2026
Client Alert
D.C. Circuit Ruling: Continued Challenges to FINRA Authority
December 5, 2024Client Alert
SEC Expands Dealer Definition to Increase Regulation of Liquidity Providers, Now Challenged in Federal Court
March 20, 2024Client Alert
SEC Brings First Settled Enforcement Action Finding Client and Customer Release Agreement Contravened the Whistleblower Rule
February 5, 2024Client Alert
Massachusetts Supreme Judicial Court Upholds the March 2020 Rule
September 28, 2023Client Alert
Off-Platform & Ephemeral Messaging – Prepare for More Scrutiny
June 28, 2023
