Elizabeth Mitchell

SEC Sanctions CLO Manager For Inadequate Polices To Prevent Nonpublic Information Misuse

CFTC Issues Request For Comment On Uses Of AI

FINRA's 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need To Know

Breaking With Precedent—New Guidance On Future CFTC Enforcement Resolutions

The Second Circuit's Blaszczak Decision Fails To Resolve One Issue, Raises New Ones

Getting Ready For Amended Rule 10b5-1 And Other New Requirements

SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure And How Retail Orders Are Executed

SEC Proposes Monthly Short Sale Reporting And Aggregated Public Disclosure

SEC Proposes Significant Amendments To Form PF And One-Business-Day Reporting Requirements

SEC Announces Proposed Amendments To Rule 10b5-1