Carolyn Welshhans

Carolyn Welshhans

Morgan Lewis

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Developments in SEC and FINRA Enforcement and Exams for Investment Advisers and Broker-Dealers: 2024–2025

The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY 2025. If history serves as a...more

2/21/2025  /  Broker-Dealer , Compliance , Enforcement Actions , Financial Services Industry , Fraud , Insider Trading , Investment Adviser , Investment Management , Securities and Exchange Commission (SEC) , Securities Regulation

Current Developments in SEC Enforcement for Public Companies and a Look Ahead 2024–2025

The US Securities and Exchange Commission (SEC) brought a number of notable enforcement proceedings against public companies in fiscal year 2024, which ended September 30, 2024, and into the first quarter of fiscal year 2025....more

2/3/2025  /  Corporate Governance , Corporate Misconduct , Enforcement Actions , Investors , Publicly-Traded Companies , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations
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