September 11, 2024
Securities Regulation and Enforcement Series: Fireside Chat with SEC Investor Advocate Cristina Martin Firvida
Brief Encounters, a podcast of the Washington D.C. Bar
September 4, 2024 Advisory
DOL Fiduciary Rule Implementation Delayed. What Does the DOL Do Next?
July 24, 2024
Securities Regulation and Enforcement Series: Developments in Insider Trading
Brief Encounters, a podcast of the Washington D.C. Bar
July 2, 2024 Advisory
Auditor Fraud Scandal Further Highlights Need to Properly Vet Audit Firms
June 28, 2024 Advisory
Supreme Court Holds SEC Statutory Fraud Claims Must Be Adjudicated in Court vs. Administrative Proceedings
June 5, 2024
Securities Regulation and Enforcement Series: All Things Standards of Care in 2024
Brief Encounters, a podcast of the Washington D.C. Bar
June 2024 Publications
Handle with Care: Evolving Standards of Care
Materials for SIFMA Compliance & Legal Society 2024 St. Louis Regional Seminar
May 22, 2024
Securities Regulation and Enforcement Series: Investor Protection in 2024
Brief Encounters, a podcast of the Washington D.C. Bar
April 30, 2024 Advisory
DOL Finalizes Changes to Qualified Professional Asset Manager Exemption 84-14
March 12, 2024 Advisory
DOL Fiduciary Rule Expected This Spring
March 2024 Publications
Ethics for Advisers: Compliance with Fiduciary Standards - Spotlight on Code of Ethics Requirements
Materials for Investment Adviser Association 2024 Compliance Conference
January 30, 2024 Reports and White Papers
Recommendations to the SEC to Modify its Procedural Framework to Prevent Regulation by Enforcement
December 4, 2023 Reports and White Papers
Summary & Comparison Chart: NASAA Proposed Broker-Dealer Model Rule and SEC Regulation Best Interest
Appendix to Comment Letter by the Securities Industry and Financial Markets Association (SIFMA)
September 20, 2023 Advisory
SEC Extends Whistleblower Protection Rules to Private Business Use of Employee Confidentiality Agreements
September 2023 Publications
Fiduciary Obligations for Identifying, Managing, and Disclosing Conflicts of Interest
Materials for Investment Adviser Association 2023 Compliance Workshops
2020 Publications
What The Biden-Harris Win Means For Securities Regulation
Law 360
2019 Publications
Securities Regulation
State Attorneys General Powers and Responsibilities, 4th ed.