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Regulatory Authority Risk Management Securities and Exchange Commission (SEC)

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

WilmerHale

CFTC Year in Review: 23 Takeaways From 2023 and Predictions for 2024

WilmerHale on

At an industry event in early 2023, Commodity Futures Trading Commission (CFTC or the Commission) Chairman Rostin Behnam set out a comprehensive agenda to include nearly three dozen rulemaking proposals as well as “business...more

Holland & Knight LLP

Federal and Florida Officials Discuss Enforcement Priorities and How Corporations Can Minimize Risk

Holland & Knight LLP on

The Third Annual Florida Enforcement Summit, hosted by Holland & Knight, the Florida Chamber of Commerce, the Miami-Dade Chamber of Commerce and the Miami-Dade Beacon Council, focused on federal and Florida enforcement...more

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