Lauren C. Jackson

Fiduciary Rule 2.0: A Quick Overview

Key Take-Aways From SEC Roundtable On Regulation Best Interest And Form CRS

SEC Adopts Derivatives Overhaul For Funds

SEC Fines Broker-Dealer $100,000 For Failing To Retain Text Messages

Under Proposed Exemptive Order, Finders Need Not Register With A Broker-Dealer To Receive Transaction-Based Compensation

SEC Adopts Amendments To Accredited Investor Definition

OCIE Issues Second Cybersecurity Risk Alert Of Q3-2020

Overview Of The DOL's New Fiduciary Rules For Retirement Plan Investment Advice

PE Fund Adviser Sanctioned By SEC For Fee Calculation Errors – Ordered To Disgorge Fees And Pay Fine, Totaling Nearly $1.2 Million