Barbara Niederkofler

Atkins-Led SEC Recognizes That Conflicts Of Interest Must Be 'Material' In Complaint Alleging Fraud And Breaches Of Fiduciary Duties By Investment Adviser

"Under The Wire" E-Comms Settlements: More Confusion Than Closure

Federal Court Issues Preliminary Injunction Of CTA

CFTC Finalizes Amendments To Rule 4.7

New Privacy And Cybersecurity Obligations For Private Fund Sponsors And Managers

SEC And FinCEN Propose Customer Identification Program Requirements For Certain Investment Advisers

"Round 2" Of Marketing Rule Enforcement Actions — Focus On Hypothetical Performance

Regulatory Minutes: Part 3

Regulatory Minutes: Part 2

Regulatory Minutes: Part 1