Zachary Schmitz

SEC Commissioner Peirce Addresses Industry At SIFMA's Compliance And Legal 2026 Annual Seminar

FINRA President And CEO Robert Cook Provides Update On ‘FINRA Forward’ At The SIFMA Compliance & Legal 2026 Annual Conference

SEC Chairman Atkins Outlines Vision And Priorities At SIFMA Compliance And Legal 2026 Annual Conference

Tilting At Windmills: Defending Overconcentration Claims In Today's Index-Driven Equity Markets

Common Ground: The SEC And CFTC Enter Historic Memorandum Of Understanding Aimed At Harmonizing Regulatory Interests

Reimagining Securities Arbitration: FINRA Launches Broad Review Of Arbitration Rules And Requests Comment On Modernization Initiative

FINRA Unveils Changes To Enforcement Program To Increase Transparency And Efficiency

SEC Enforcement Gets A Refresh: Updates To Enforcement Manual Focus On Transparency And Fairness

Know The Outcome? Don't Trade: CFTC Puts Prediction Markets On Notice

All's Well That Ends Well: The CFTC Amends Its Wells Notice Process And Other Rules Of Practice For The Better

Reaching The Finish Line: The CFTC Concludes Its Enforcement Sprint By Offering Lower Fines For Self-Reporting And Cooperation

CFTC Acting Chairman Pham Announces Effort To Quickly Resolve Recordkeeping And Reporting Investigations And Pledges Additional Guidance On Self-Reporting And Cooperation

Clearer Skies Ahead: CFTC Enforcement Division's New Advisory Opens Doors For Self-Reporting And Increased Cooperation

Will History Repeat Itself? Peering Into The Past To Predict The Next Four Years Of CFTC Enforcement Actions