Securities and Exchange Commission

Troy A. Paredes, former SEC Commissioner, shares his thoughts on the ESG movement.

Scholar presents defenses that the SEC may use to legitimize restrictions on broker inducements.

Scholars analyze the history of Supreme Court securities law jurisprudence to predict what lies ahead.

A U.S. Securities and Exchange Commission proposal to enhance the regulation of private fund advisers receives critical comments.

Federal securities regulators should not use implied preclusion to shield themselves from constitutional challenge.

Scholars review the rise and fall of GameStop stock and urge updates to securities laws.

Scholar argues that traditional enforcement against digital assets will only reduce information for investors.

The Supreme Court’s decision in U.S. v. Arthrex expands the avenues for politicizing agency adjudication.

As decentralized finance projects eliminate the need for financial intermediaries, regulators may need to fundamentally rethink their approach.

Fintech promises to decentralize and democratize financial markets, but consumer protection and regulation are still needed.

The gamification of financial trading apps should be cultivated, not criticized.

The GameStop frenzy raises questions about the adequacy of securities market plumbing.