Is the MSRB Unconstitutional? — SEC Roundup
By Nicolas Morgan and Tom ZaccaroThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
December 27, 2024
From the Red Carpet: How Prudential Advisors Focuses on Underserved ClientsPrudential Advisors' Hasan Ibrahim discusses the company’s efforts to reach underserved clients and advisors.
December 27, 2024
From the Red Carpet: How Kwanti Continues to Innovate With a Small, Dedicated TeamKwanti Founder and CEO Christophe Gauthron discusses how his company continues to develop new features with a small but dedicated team.
December 27, 2024
From the Red Carpet: AEF Shows the Power of Giving Back to Local CommunitiesAmerican Endowment Foundation CEO Ron Ransom and Chief People and Culture Officer Paula Hogan share thoughts on charitable giving.
December 27, 2024
From the Red Carpet: Orion CEO’s Advice to Advisors: Focus on What’s ImportantOrion CEO Natalie Wolfsen speaks about the company's success at the 2024 Luminaries Awards.
December 11, 2024
Expect Dramatic Enforcement Changes in 2025: SEC RoundupLegal experts discuss their views on how 2025 might shape up.
November 27, 2024
Court Strikes Down SEC Dealer Rule: SEC RoundupThe rule expanded the definition of "dealer" so that many private fund advisors would have had to register.
October 18, 2024
Dropped Accountant Cases May Lead to Federal Court Bars: SEC RoundupThe SEC may move away from administrative proceedings in accountant cases, according to former enforcement director Andrew Ceresney.