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The depth of our experience brings a broad perspective to complex securities and employment matters; email [email protected]. #SecuritiesLaw #FinancialCommunity #LegalExperience #FINRA #SEC #FinancialProfessionals

The SEC has issued exemptive relief from U.S. Treasury clearing requirements for certain inter-affiliate and non-U.S. repo transactions, supporting market participants as central clearing expands. Read more: ift.tt/0cauyAg

SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions ift.tt/0cauyAg

The SEC has charged BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd in an alleged $130 million fraud scheme involving false SEC filings used to boost investor confidence. Read more: ift.tt/qlY5n6y

Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence ift.tt/qlY5n6y

The depth of our experience helps uncover contract terms that may affect compensation and career moves; call 212-509-6544. #ContractReview #SecuritiesLaw #FinancialAdvisors #EmploymentIssues #RiskManagement #LegalGuidance

The depth of our experience guides focused responses to state securities inquiries; call 212-509-6544 or email [email protected]. #StateRegulators #SecuritiesLaw #Investigations #Compliance #FinancialAdvisors #LegalCounsel

The SEC has announced its Fiscal Year 2027 examination priorities, highlighting key areas of focus for promoting compliance and preventing fraud. Read the overview and full press release: ift.tt/ZbM4Wjc

SEC Announces Fiscal Year 2027 Examination Priorities ift.tt/ZbM4Wjc

The depth of our experience helps clients test arbitration claims and defenses against the record; call 212-509-6544. #Arbitration #FINRAArbitration #SecuritiesLaw #DisputeResolution #FinancialProfessionals #LegalStrategy

The SEC and AMF have signed a supervisory MOU to enhance cooperation, facilitate consultation, and improve information-sharing for investment advisers and investment service providers. Read the full press release and learn what this means for cross-border oversight. …

SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers bit.ly/4i6a4Vg

The SEC and Japan’s FSA held the Autumn Financial Regulatory Dialogue in Tokyo to advance collaboration on cross-border regulation and market integrity. The discussions build on long-standing cooperation to align supervisory practices and enhance global … bit.ly/47tNFwo

SEC, FSA Hold Autumn Financial Regulatory Dialogue bit.ly/47tNFwo

SEC to host a November 9, 2026 roundtable on machine-understandable data in the age of Super Intelligence. The event will explore risks, costs, and governance implications as SI advances. Full details and press release linked below. bit.ly/4iv90eQ

SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence bit.ly/4iv90eQ

The depth of our experience helps financial professionals assess obligations that may continue after departure; call 212-509-6544. #EmploymentLaw #SecuritiesLaw #FinancialAdvisors #FINRA #CareerTransition #LegalGuidance

The depth of our experience helps advisors examine legal issues before a brokerage-to-RIA move; email [email protected]. #RIA #AdvisorTransition #SecuritiesLaw #FinancialAdvisors #Compliance #CareerPlanning

The SEC Small Business Advisory Committee will meet on Oct 27, 2026, at 10 a.m. to discuss IPO modernization and Regulation Crowdfunding. Read the full press release and get more details. bit.ly/4zv12rZ

SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding bit.ly/4zv12rZ