Maxwell Baker Insights Archives

Compliance Implications from Supreme Court Rulings

VIGILANT INSIGHTS Introduction Last month, the Supreme Court overturned the Chevron Doctrine which will likely have a lasting impact on regulatory agencies. As the SEC’s […]

SEC Investigations Related to Messaging Apps | Maxwell Baker Reacts

Vigilant Insights Vigilant’s own, Maxwell Baker, Esq., was quoted in InvestmentNews related to the SEC’s continued investigations into the use of messaging apps by employees of registered firms. […]