SECLaw.com - Securities Law Home Page

SEC Proposes Executive and Director Compensation Disclosure Reforms bit.ly/4t1d8qX

The firm's depth of experience supports informed mediation discussions—contact 212-509-6544 or [email protected]. #Mediation #FINRA #SecuritiesLaw #Advisors #DisputeResolution #LegalGuidance

SEC Announces Enforcement Annual Results for Fiscal Year 2026 bit.ly/4f1VJZb

The firm's depth of experience informs arbitrator selection—discuss representation at 212-509-6544 or [email protected]. #FINRA #Arbitration #SecuritiesLaw #Advisors #LegalGuidance #Finance

The depth of our experience spans 30+ years representing the financial community; discuss audit support at 212-509-6544 or [email protected]. #SecuritiesLaw #Audits #FINRA #SEC #Advisors #Compliance

The depth of our experience informs settlement reviews; call 212-509-6544 or email [email protected] to discuss yours. #SecuritiesLaw #Settlement #LegalReview #FinancialProfessionals #SecuritiesLawyer #LegalEducation

The depth of our experience guides arbitration preparation; call 212-509-6544 or email [email protected] to discuss your matter. #Arbitration #SecuritiesLaw #Advisors #Brokers #LegalEducation #FinancialProfessionals

The depth of our experience helps advisors review year-end disclosure concerns early; call 212-509-6544 or email [email protected]. #SecuritiesLaw #FINRA #FinancialAdvisors #Compliance #Disclosures #BrokerDealers #LegalGuidance

SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers bit.ly/4iqCLfC

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. …