Cadwalader attorneys argue that the SEC should revisit the application of the securities regulations to the sale of utility tokens on blockchain networks.

In its 2021 Annual Report, the MSRB highlighted the organization's ongoing modernization efforts amid the challenges posed by the global pandemic.

The SEC approved a FINRA proposal to address the application of FINRA rules to security-based swaps.

The SEC charged two individuals with trading on material nonpublic information taken from a company's confidential earnings preview meeting.

The SEC requested comment on a Nasdaq Stock Market LLC amended proposed rule to adjust pricing limitations on direct listings of primary offerings.

SIFMA and the Asset Management Group raised concerns regarding an SEC-proposed rule that would create extensive reporting requirements for any individuals loaning a security.

FINRA proposed extending temporary rules allowing remote office inspections through calendar year 2022.

An investment adviser settled SEC charges for breach of fiduciary duty in connection with its affiliates' receipt of third-party compensation related to the sale of shares in mutual funds.

An investment adviser settled SEC charges relating to alleged misrepresentations on fees and failures to disclose conflicts of interest.

The SEC is seeking comment on a FINRA-proposed modification to its previously proposed rule to amend requirements for customer account statements.