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SEC Proposes Consolidated Audit Trail

Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP. This post is based on a Davis Polk client memorandum. The Securities and Exchange...

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On the Regulation of Investment Advisory Services

Editor’s Note: The following post comes to us from James Angel of the Department of Finance at Georgetown University. In the paper, On the Regulation of Investment Advisory Services: Where Do We Go...

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The Final Rules for Consolidated Audit Trail

Editor’s Note: Elisse B. Walter is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...

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Effective Consolidated Audit Trail: Keeping the Door Open

Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...

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Time for a Fresh Look at Equity Market Structure and Self-Regulation

Editor’s Note: Daniel M. Gallagher is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement from Commissioner Gallagher, available here. The views expressed...

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Becoming the Fifth Branch

Editor’s Note: M. Todd Henderson is Professor of Law and Aaron Director Teaching Scholar at the University of Chicago Law School, and William A. Birdthistle is Associate Professor of Law and Freehling...

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The Need for Robust SEC Oversight of SROs

Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement by Commissioner Aguilar; the full text, including footnotes, is...

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SEC Proposes Consolidated Audit Trail

Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Sunday, July 4, 2010 Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP....

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On the Regulation of Investment Advisory Services

Posted by R. Christopher Small, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Friday, November 25, 2011 Editor's Note: The following post comes to us from James Angel of the...

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The Final Rules for Consolidated Audit Trail

Editor’s Note: Elisse B. Walter is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...

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Effective Consolidated Audit Trail: Keeping the Door Open

Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...

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Time for a Fresh Look at Equity Market Structure and Self-Regulation

Editor’s Note: Daniel M. Gallagher is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement from Commissioner Gallagher, available here. The views expressed...

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Becoming the Fifth Branch

Posted by M. Todd Henderson, University of Chicago Law School, on Tuesday, April 2, 2013 Editor's Note: M. Todd Henderson is Professor of Law and Aaron Director Teaching Scholar at the University of...

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The Need for Robust SEC Oversight of SROs

Posted by Luis A. Aguilar, Commissioner, U.S. Securities and Exchange Commission, on Thursday, May 9, 2013 Editor's Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange...

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SEC Proposes Consolidated Audit Trail

Posted by Annette L. Nazareth, Davis Polk & Wardwell LLP, on Sunday, July 4, 2010 Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP....

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On the Regulation of Investment Advisory Services

Posted by R. Christopher Small, Co-editor, HLS Forum on Corporate Governance and Financial Regulation, on Friday, November 25, 2011 Editor's Note: The following post comes to us from James Angel of the...

View Article

The Final Rules for Consolidated Audit Trail

Editor’s Note: Elisse B. Walter is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...

View Article


Effective Consolidated Audit Trail: Keeping the Door Open

Editor’s Note: Luis A. Aguilar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Walter’s statement at a recent open meeting of the SEC, which is...

View Article

Time for a Fresh Look at Equity Market Structure and Self-Regulation

Editor’s Note: Daniel M. Gallagher is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on a statement from Commissioner Gallagher, available here. The views expressed...

View Article

Becoming the Fifth Branch

Posted by M. Todd Henderson, University of Chicago Law School, on Tuesday, April 2, 2013 Editor's Note: M. Todd Henderson is Professor of Law and Aaron Director Teaching Scholar at the University of...

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