Rules and Regulations

  • SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements

Industry Update

  • Dalia Blass Keynote Address at the Investment Company Institute 2020 Virtual Securities Law Developments Conference: Regulating with Our Eyes on the Future
  • Joint Statement on New FAQs for Form CRS.


  • Blockchain Lending Company Settles SEC Charges Arising from Unregistered ICO
  • SEC Settles with Private Equity Fund Manager Regarding Alleged Fee Overcharges