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Category: Rules & Regs

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When “We’ll Lock It Up” Stops Working

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The AI industry spent years assuring everyone that its most valuable assets were safely behind walls. Last month, two incidents in five days challenged that assumption. A supply chain attack on Mercor, a $10 billion AI recruiting startup, g...

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The SEC’s New SOX Squad: Five Takeaways for Auditors and Public Companies

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The Securities and Exchange Commission has spent the better part of a year scaling back its enforcement function. There are fewer cases, lower penalties, reduced staffing, and a revised enforcement manual. So when a new enforcement unit mat...

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How Will Public Companies Respond to Semi-Annual Reporting?

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Under Chairman Paul Atkins’ SEC, deregulation is starting to feel like the dessert menu offered after a satisfying meal. Public companies must be tempted by the offerings; at the same time, they may be thinking to themselves: “I couldn’t po...

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Crypto ETFs Go Mainstream

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What does the “E” in “ETF” actually stand for? Financial professionals and armchair investors likely know the answer. However, on a recent episode of the popular quiz show Jeopardy!, none of the contestants could give the proper response. P...

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SEC Committee Push for AI Disclosures Sparks Regulatory Deja Vu

Federal regulators are once again confronting a familiar question: who should regulate transformative technology when it affects the capital markets? We most recently saw it unfold with crypto. Now it’s AI’s turn. Last week, the SEC’s Inves...

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