California Closes the Door on “Stay-or-Pay”
California recently enacted two new statutes—section 16608 of the California Business and Professions Code and section 926 of the California…
Read MoreAuthor: Lauren White
SEC Enforcement in 2026: What the “Back to Basics” Pivot Means for Broker-Dealers and Financial Advisers
After a year of leadership turnover and public uncertainty about the direction of the SEC’s enforcement program, the Division of…
Read MoreWhen Financial Advisors Move: Trade Secrets, Competition, and Transition Risk
Even the most carefully planned advisor transition presents risk. The former firm may seek emergency relief in court within days…
Read MoreSEC Regulation Crypto Assets Proposal: A Guide to the SEC’s Proposed Framework for Crypto Offerings
The U.S. Securities and Exchange Commission has proposed “Regulation Crypto Assets,” a new framework intended to make federal securities rules…
Read MoreCalifornia Supreme Court Upholds Out-Of-State Form Clauses Without Jury Trials
This article originally appeared in the Daily Journal on August 18, 2025. Read online at the Daily Journal here. Download…
Read More