The short version: We’ve launched SmartArchive, a new communications archiving and surveillance capability that lets firms capture, retain, and review business communications across channels, emails, text messages, social media messages, and websites […]

The takeaway in 30 seconds: On May 4, 2026, NASAA approved amendments to four model rules that bring state investment adviser advertising standards into closer alignment with the SEC Marketing Rule, opening […]

The takeaway in 30 seconds: The current SEC has pulled back from pursuing recordkeeping failures as standalone enforcement cases, but that is a change in enforcement focus, not a relaxation of the […]

The SEC’s May 29 proposal to rescind the 2024 climate disclosure rules will generate a lot of commentary about what it means for corporate America. Most of it won’t be directly useful […]