Steven Malina

SEC Raises Threshold For ‘Qualified Client’ Status, Effective June 29, 2026

SEC Staff Clarifies Broker-Dealer Registration Expectations For Non-Custodial Crypto Wallet Providers

Providing Useful Tools: FINRA Releases Its 2026 Annual Regulatory Oversight Report, Together With A FINRA Unscripted Podcast Filled With Senior Leadership Insights

SEC Division Of Examinations 2026 Priorities

SEC Files Actions Against 4 Public Companies For Negligent Cybersecurity Disclosures

SEC Division Of Examinations 2025 Priorities

No Need For Seeking Alpha To Seek Registration

SEC Collects $390 Million In Latest Crackdown On 'Off-Channel' Communications In The Financial Industry

Reg BI Enforcement Intensifies: SEC Fines Western International Securities For Violating Care And Compliance Obligations

SEC v. SolarWinds Update: U.S. Federal District Court Dismisses Most Of The SEC's Case, But Some Fraud Claims And CISO Liability Remain

SEC Clarifies Confusion Concerning Cybersecurity Incident Reporting

SEC Division Of Examinations 2024 Priorities

Chief Information Security Officers In SEC Crosshairs: The SolarWinds Case