Bill Myers
‘When there’s a cyclical decline, certain risks pop up time and again… The SEC knows about them, too…’
More firms than ever are getting registered with the SEC as they grow and look to diversify their investor base – at the same time that the regulator’s scrutiny of the market has intensified.
Five separate amicus briefs extend, underline arguments against most sweeping changes since Dodd-Frank.
'Whenever you see the SEC taking action across rulemaking, exams and enforcement... it should be seen as a clear signal that this is a big focus for them, and you need to get your house in order...'
Cash recoveries down slightly from record-setting fiscal 2022, but caseload rises by 8%.
The two-stage process is based on analysis of common risks and 'transmission channels.'
‘Each part of the rule is unnecessary, unworkable, and unduly burdensome,’ lawyers say in opening brief.
Penalties top $5bn, Grewal seeks 'three Es.'
Study guide promises closer looks at marketing rule, valuations
As Washington pressures the industry, advice-of-counsel is becoming 'fertile ground' for litigation.
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