The longer the shutdown extends the more opportunity there is for problems,” said former U.S. Securities and Exchange ...

Ladan Stewart, an attorney who represented the United States Securities and Exchange Commission (SEC) in its enforcement case against Ripple, has joined a law firm that is often at the defense table ...

It is hard to imagine that there is a brokerage or advisory compliance official or c-suite executive who hasn’t had at least one sleepless night worrying about whether or not their firm would pass ...

"If the open jacket policy is actually implemented—which we in the defense bar hope is the case—it would be a welcome reform," one attorney said.

SEC Chair Paul Atkins spoke at a New York conference, saying the agency was moving quickly to adopt rules in the hopes of ...

During his farewell speech to coworkers at the Securities and Exchange Commission, trial attorney James Kidney criticized the agency for its failure to target high-level violations. The most recent ...