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SEC Enforcement Director Outlines His View of Effective Cooperation | White & Case LLP

In February 2024, we published an alert discussing the significant benefits of prompt self-reporting and cooperation during a US Securities and Exchange Commission ("SEC"). ....

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SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology | A&O Shearman

SEC adopts amendments to Regulation S-P to address risks associated with the expanded use of technology | A&O Shearman
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Revised Dealer Rules | Tannenbaum Helpern Syracuse & Hirschtritt LLP

On February 6, 2024, the Securities and Exchange Commission (“SEC”) in a 3-2 vote adopted new Rules 3a5‑4 and 3a44‑2 (the “Dealer Rules”) that expand the definition of a “dealer” and a. ....

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Statement On Short Position And Short Activity Reporting By Institutional Investment Managers, SEC Commissioner Mark T. Uyeda, Oct. 13, 2023

Statement On Short Position And Short Activity Reporting By Institutional Investment Managers, SEC Commissioner Mark T. Uyeda, Oct. 13, 2023
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Statement On Consolidated Audit Trail Revised Funding Model, SEC Commissioner Mark T. Uyeda, Sept. 6, 2023

Statement On Consolidated Audit Trail Revised Funding Model, SEC Commissioner Mark T. Uyeda, Sept. 6, 2023
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