SECLaw.com - Securities Law Home Page

The depth of our experience informs settlement reviews; call 212-509-6544 or email [email protected] to discuss yours. #SecuritiesLaw #Settlement #LegalReview #FinancialProfessionals #SecuritiesLawyer #LegalEducation

The depth of our experience guides arbitration preparation; call 212-509-6544 or email [email protected] to discuss your matter. #Arbitration #SecuritiesLaw #Advisors #Brokers #LegalEducation #FinancialProfessionals

The depth of our experience helps advisors review year-end disclosure concerns early; call 212-509-6544 or email [email protected]. #SecuritiesLaw #FINRA #FinancialAdvisors #Compliance #Disclosures #BrokerDealers #LegalGuidance

SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers bit.ly/4iqCLfC

The depth of our experience brings a broad perspective to complex securities and employment matters; email [email protected]. #SecuritiesLaw #FinancialCommunity #LegalExperience #FINRA #SEC #FinancialProfessionals

The SEC has issued exemptive relief from U.S. Treasury clearing requirements for certain inter-affiliate and non-U.S. repo transactions, supporting market participants as central clearing expands. Read more: ift.tt/0cauyAg

SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions ift.tt/0cauyAg

The SEC has charged BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd in an alleged $130 million fraud scheme involving false SEC filings used to boost investor confidence. Read more: ift.tt/qlY5n6y

Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence ift.tt/qlY5n6y

The depth of our experience helps uncover contract terms that may affect compensation and career moves; call 212-509-6544. #ContractReview #SecuritiesLaw #FinancialAdvisors #EmploymentIssues #RiskManagement #LegalGuidance

The depth of our experience guides focused responses to state securities inquiries; call 212-509-6544 or email [email protected]. #StateRegulators #SecuritiesLaw #Investigations #Compliance #FinancialAdvisors #LegalCounsel

The SEC has announced its Fiscal Year 2027 examination priorities, highlighting key areas of focus for promoting compliance and preventing fraud. Read the overview and full press release: ift.tt/ZbM4Wjc

SEC Announces Fiscal Year 2027 Examination Priorities ift.tt/ZbM4Wjc

The depth of our experience helps clients test arbitration claims and defenses against the record; call 212-509-6544. #Arbitration #FINRAArbitration #SecuritiesLaw #DisputeResolution #FinancialProfessionals #LegalStrategy

The SEC and AMF have signed a supervisory MOU to enhance cooperation, facilitate consultation, and improve information-sharing for investment advisers and investment service providers. Read the full press release and learn what this means for cross-border oversight. …

SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers bit.ly/4i6a4Vg

The SEC and Japan’s FSA held the Autumn Financial Regulatory Dialogue in Tokyo to advance collaboration on cross-border regulation and market integrity. The discussions build on long-standing cooperation to align supervisory practices and enhance global … bit.ly/47tNFwo

SEC, FSA Hold Autumn Financial Regulatory Dialogue bit.ly/47tNFwo

SEC to host a November 9, 2026 roundtable on machine-understandable data in the age of Super Intelligence. The event will explore risks, costs, and governance implications as SI advances. Full details and press release linked below. bit.ly/4iv90eQ

SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence bit.ly/4iv90eQ