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SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for July 2024

SEC Loses in ALJ Case, DOL’s Latest Fiduciary Rule Put on Hold, and SEC Reconsiders AI and Custody Rule Proposals - Welcome to our July Regulatory Roundup, where we provide a quick look at the latest regulatory developments....more

Steptoe & Johnson PLLC

Two U.S. Supreme Court Decisions Will Affect the Securities Industry

Steptoe & Johnson PLLC on

The Supreme Court of the United States (SCOTUS) recently issued two opinions that are likely to have a longer-term effect on the way securities industry matters are handled. Juries, not the Securities Exchange Commission...more

Morrison & Foerster LLP

FTC Lays Groundwork For Rulemakings: Are New Substantive Competition Rules Coming?

The Federal Trade Commission (FTC) appears poised to begin testing the scope of its rulemaking authority, including new substantive competition rules for the first time in decades. On March 25, 2021, FTC Acting Chairwoman...more

Orrick, Herrington & Sutcliffe LLP

Pending U.S. Supreme Court Cases May Restrict FTC’s Pursuit of Monetary Relief in Privacy and Cybersecurity Matters

Earlier this month, the U.S. Supreme Court agreed to hear a pair of cases that provide it with the opportunity to severely restrict the Federal Trade Commission’s (“FTC’s”) authority to obtain equitable money relief in...more

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