Securities

Prepared Remarks of Paul S. Atkins at the SEC Investor Advisory Committee

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Securities

Fiduciary Duty, Materiality and Shareholder Proposals Discussed & Debated

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Digital Assets | Securities

Six Patomak Takeaways Regarding 2021 SEC Division of Examinations Risk Alert on Digital Assets

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Securities

Patomak CEO’s Take on the Treasury Capital Markets Report: a Positive Step Toward Reform, Some Weaknesses Still Need to be Addressed

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Securities

Securities and Exchange Commission Staff Provide Guidance to Investment Advisers on Compliance Requirements for Robo-Advisers

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Securities

Securities and Exchange Commission Details Exam Priorities in 2017

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Securities

SEC Examining the Supervisory Practices of SEC-Registered Investment Advisers’ Branch Offices

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Securities

Keynote Address: Broker/Dealer Regulation and Enforcement 2016

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Securities

SEC Customer Protection Rule Self-Reporting Deadline Nov 1; Sweep Underway

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Securities

The SEC Trajectory Post Dodd-Frank

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