James H.R. Windels

Rules and Regulations SEC Rejects Proposed Rule Change for Bitcoin ETF Industry Update Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals Litigation S...

Rules and Regulations SEC Proposes New ETF Rule SEC Adopts Inline XBRL for Tagged Data SEC Adopts Amendments to the Liquidity Disclosure Rule SEC Proposes Whistleblower Rule Amendments ...

Rules and Regulations SEC Proposes Whistleblower Rule Amendments Industry Update SEC Releases Strategic Plan for Fiscal Years 2018-2022 Litigation SEC Charges New York-based Investme...

In an evolving securities landscape, examinations of investment advisers remain a key priority for the SEC’s Office of Compliance Inspections and Examinations (OCIE). By understanding O...

The recent convictions of two traders for using hacked press releases and the settlement of SEC insider trading charges against a former Equifax manager highlight the significant insider ...

Rules and Regulations SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure and Fees Related to Forwarding Fund Materials SEC Proposes FAIR A...

Rules and Regulations SEC Updates Its Custody Rule FAQs Industry Update Commissioner Hester M. Peirce Outlines Enforcement Philosophy, Criticizes “Broken Windows” Enforcement Liti...

The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Constitution and are therefore subject to the Appointments Clause o...

Rules and Regulations SEC Proposes Rule Change to Address Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships Industry Update SEC Enforcement Divisio...

Industry Update SEC Launches Investor Protection Search Tool Dalia Blass Remarks at the 2018 PLI Investment Management Institute Jay Clayton: The Evolving Market for Retail Investment Se...