Stay Informed With Our Latest Updates

Client Alert May 11, 2026

Regulatory Compliance Reminders for Investment Advisers

Three key issues for investment advisers in the coming months: the Regulation S-P compliance deadline, new qualified client thresholds, and …

Webcasts March 31, 2026

Webcast: Capital Markets: PIPE Transactions

Join us for a presentation designed to equip investors and companies with an in-depth analysis of private investment in public …

Client Alert March 3, 2026

Seller Beware: SEC Enforcement Action Highlights Challenges of Principal Transaction Pricing in Periods of Market Dislocation

The SEC enforcement action highlights the agency’s continuing scrutiny of valuation practices and disclosures by private fund sponsors of illiquid …

Client Alert February 27, 2026

The CFTC Advises Prediction Market Users: Insider Information Is Not Fair Game

The CFTC re-affirms its intent to police insider trading on registered prediction markets. With prediction markets rapidly growing, the Commodity …

Client Alert February 25, 2026

SEC’s Division of Enforcement Updates Its Enforcement Manual for First Time Since 2017

Notable updates go beyond procedural changes previously announced by Chairman Paul Atkins and Enforcement Director Margaret Ryan. Although updates had …

Client Alert February 13, 2026

SEC Enforcement Director’s First Public Remarks Highlight Process, Fraud, and Compliance Failures

In our experience, after a long transition, changes within the Division of Enforcement are taking shape.

Client Alert February 4, 2026

Securities Enforcement 2025 Year-End Update

The SEC’s 2025 enforcement agenda reflected sweeping changes in leadership, priorities, and personnel, yielding dismissals, process reforms, and a new …

State Attorneys General (AG) Task Force

State attorneys general are increasingly pursuing high risk investigations and enforcement actions in every major U.S. industry.