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    July 30, 2025

  • Staff Gone Rogue: Federal Action Without Commission Approval — SEC Roundup

    June 24, 2025

  • New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC Roundup

    May 22, 2025

  • Ray of Hope Emerges for 'Forever Bars': SEC Roundup

    April 25, 2025

  • SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC Roundup

    April 16, 2025

  • Is the MSRB Unconstitutional? — SEC Roundup

    March 21, 2025

  • Short Seller Challenges SEC on Free Speech: SEC Roundup

    March 04, 2025

  • Father-Son Lifetime Bar Suit Heats Up: SEC Roundup

    January 31, 2025

  • From the Red Carpet: How Prudential Advisors Focuses on Underserved Clients

    December 27, 2024

  • From the Red Carpet: How Kwanti Continues to Innovate With a Small, Dedicated Team

    December 27, 2024

  • From the Red Carpet: AEF Shows the Power of Giving Back to Local Communities

    December 27, 2024

  • From the Red Carpet: Orion CEO’s Advice to Advisors: Focus on What’s Important

    December 27, 2024

  • Expect Dramatic Enforcement Changes in 2025: SEC Roundup

    December 11, 2024

  • Court Strikes Down SEC Dealer Rule: SEC Roundup

    November 27, 2024

  • Dropped Accountant Cases May Lead to Federal Court Bars: SEC Roundup

    October 18, 2024

  • Supreme Court Ruling, Criminal Trial Shake Up Insider Trading: SEC Roundup

    August 09, 2024

  • Supreme Court Ruling Ensures Juries in Many SEC Cases: SEC Roundup

    July 05, 2024

  • Eye-Watering Texting Fines Need Transparency: SEC Roundup

    June 24, 2024

  • Court Adopts SEC's Expansive View of 'Dealer': SEC Roundup

    June 14, 2024

  • Will This Crypto Requirement Be Killed? — SEC Roundup

    May 24, 2024

  • Beware of Double Jeopardy in SEC Proceedings: SEC Roundup

    May 02, 2024

  • Court Tackles SEC Authority to Regulate Private Funds: SEC Roundup

    March 29, 2024

  • New SEC Dealer Rule Will Hit Private Funds: SEC Roundup

    February 23, 2024

  • Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC Roundup

    January 09, 2024

  • How Charitable Works and Philanthropy Connect Alger to Its Community

    December 19, 2023

  • Marketing Rule Among 2024 Enforcement Priorities: SEC Roundup

    November 30, 2023

  • iCapital Brings Alternative Investment Opportunities to Advisors

    November 21, 2023

  • How CapWealth Fought 12b-1 Fee Charge: SEC Roundup

    October 19, 2023

  • Unicorns May Be Dragged Into Public Markets: SEC Roundup

    October 06, 2023

  • New Private-Funds Rules Hit With Court Action: SEC Roundup

    September 05, 2023

  • Allison Daniels, Partner, Marcus, Inman & Daniels Wealth Advisors (Video)

    July 17, 2023

  • Dathan Lumpkins, President, Lumpkins Private Wealth Management (Video)

    July 17, 2023

  • Michael Cowan, Managing Principal, Gardens Wealth Management (Video)

    July 17, 2023

  • Spotlight on M&A (Video)

    July 17, 2023

  • Supreme Court to Decide Fund Manager's 10-Year SEC Fight — SEC Roundup

    July 14, 2023

  • Keeping the Focus on Clients (Video)

    July 14, 2023

  • Common Fears of Going Independent (Video)

    July 12, 2023

  • How Independence Gives Advisors Room for Growth (Video)

    July 12, 2023

  • How Independent Advisors Tackle Marketing and Compliance (Video)

    July 10, 2023

  • What Makes the Independent Model Different? (Video)

    July 10, 2023

  • 42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC Roundup

    June 28, 2023

  • Battle With Law Firm Over China Hack Comes to a Head: SEC Roundup

    June 14, 2023

  • Climate Impact Rule Likely on the Ropes: SEC Roundup

    May 10, 2023

  • Reg D Changes Are a Bad Idea: SEC Roundup

    April 06, 2023

  • Custody Rule Plan Changes Are 'Mind Boggling': SEC Roundup

    March 10, 2023

  • Is the Sweep of Advisors' Texting Legal? — SEC Roundup

    February 24, 2023

  • Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC Roundup

    February 10, 2023

  • March CAT Deadline Raises Investor Privacy Alarm: SEC Roundup

    January 23, 2023

  • Women in Wealth (Video)

    January 11, 2023

  • Independent Broker Dealer (Video)

    January 11, 2023