The SEC (U.S. Securities and Exchange Commission) recently hosted the 2024 SEC Speaks conference in Washington, DC. During the event, SEC leaders, including the Chair, commissioners, and senior staffers, shared their views...more
4/18/2024
/ Cooperation ,
Disgorgement ,
Electronic Communications ,
Enforcement ,
Enforcement Actions ,
Enforcement Statistics ,
Personal Liability ,
Recordkeeping Requirements ,
Regular Business Communications ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblowers
In one of its last opinions to be released this Term, the United States Supreme Court issued a decision on June 22, 2020 in Liu v. Securities and Exchange Commission, a case about whether and to what extent disgorgement is an...more
6/25/2020
/ 15 U.S.C. § 78u(d)(5) ,
Administrative Authority ,
Business Expenses ,
Calculation of Damages ,
Corporate Misconduct ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Kokesh v SEC ,
Lack of Authority ,
Liu v Securities and Exchange Commission ,
Net Profits ,
Remedies ,
SCOTUS ,
Securities and Exchange Commission (SEC)
On March 3, 2020, the U.S. Supreme Court heard argument in Liu v. Securities and Exchange Commission, a case about whether disgorgement is an available remedy in SEC enforcement actions filed in federal court under a...more
3/4/2020
/ Administrative Authority ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Kokesh v SEC ,
Lack of Authority ,
Liu v Securities and Exchange Commission ,
Penalties ,
Regulatory Agencies ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Split of Authority ,
Statute of Limitations