Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine the following matters:
• An SEC settlement with an ex-CEO...more
8/1/2025
/ CEOs ,
Corporate Counsel ,
Department of Justice (DOJ) ,
Elder Abuse ,
Enforcement ,
Fraud ,
Hedge Funds ,
Investment Adviser ,
Investors ,
Misrepresentation ,
Ponzi Scheme ,
Portfolio Companies ,
Securities and Exchange Commission (SEC) ,
Unregistered Securities
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. For the month when Paul Atkins was sworn in as SEC Chairman, we examine:
• The SEC’s...more
5/28/2025
/ Corporate Counsel ,
Cryptocurrency ,
Enforcement ,
Enforcement Actions ,
Fraud ,
Investment ,
Investment Adviser ,
Investment Funds ,
Receivership ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Securities Violations ,
Stablecoins
To issue a subpoena for documents or testimony, Enforcement staff must first obtain a formal order. A formal order authorizes SEC staff “to administer oaths and affirmations, subpoena witnesses, compel their attendance, take...more
Given the recent news about President-Elect Trump’s cabinet appointments , it is a safe bet that the SEC Division of Enforcement’s priorities will change under the new administration. Under President Biden, SEC Chair Gary...more
11/15/2024
/ Artificial Intelligence ,
Board of Governors ,
Corner Post Inc v Board of Governors of the Federal Reserve System ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Insider Trading ,
Loper Bright Enterprises v Raimondo ,
Securities and Exchange Commission (SEC) ,
Share Buybacks ,
Trump Administration
Each month, we publish a roundup of the most important SEC enforcement developments for busy in house lawyers and compliance professionals. This month included the SEC’s fiscal year end and a large number of enforcement...more
10/25/2024
/ Bribery ,
Cryptocurrency ,
Digital Media ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Foreign Corrupt Practices Act (FCPA) ,
Form 10-K ,
John Deere ,
MNPI ,
Political Corruption ,
Regulation FD ,
Scams ,
Securities and Exchange Commission (SEC) ,
Social Media
Each month we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•The Fifth Circuit’s stay of the SEC’s recent adoption of...more
4/24/2024
/ Artificial Intelligence ,
Climate Change ,
Coinbase ,
Cryptoassets ,
Disclosure Requirements ,
Enforcement ,
Fiduciary Duty ,
Fraud ,
Greenhouse Gas Emissions ,
Investment Advisers Act of 1940 ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Stays ,
Unregistered Brokers
On March 18, 2024, the SEC announced—in videos posted on YouTube and Twitter—regulatory actions against two investment advisers for “AI washing,” a practice defined by the SEC as “making false artificial intelligence-related...more
3/21/2024
/ Anti-Fraud Provisions ,
Artificial Intelligence ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
NASAA ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
SIFMA