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 complaint alleging a Georgia...more
8/25/2025
/ Blockchain ,
Digital Assets ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Insider Trading ,
Investment Adviser ,
Investors ,
Ponzi Scheme ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Voluntary Dismissals
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, SEC Chair Gary Gensler announced his imminent departure in January 2025...more
12/23/2024
/ American Depository Receipts (ADRs) ,
Anti-Fraud Provisions ,
Bribery ,
Broker-Dealer ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Foreign Corrupt Practices Act (FCPA) ,
Gambling ,
Green Energy ,
Investment Advisers Act of 1940 ,
Investors ,
Japan ,
Misleading Impressions ,
Misleading Statements ,
Renewable Energy ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
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:
•Accounting fraud charges for allegedly concealing costs;...more
11/29/2024
/ Accounting Fraud ,
Aerospace ,
Artificial Intelligence ,
Bribery ,
Civil Monetary Penalty ,
Cryptocurrency ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Greenwashing ,
Misleading Statements ,
Popular ,
Securities and Exchange Commission (SEC) ,
Unregistered Brokers
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 SEC’s approval of spot bitcoin ETPs; -
•SEC charges...more
2/27/2024
/ Bitcoin ,
Corporate Counsel ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Initial Public Offering (IPO) ,
PCAOB ,
Ponzi Scheme ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Special Purpose Acquisition Companies (SPACs)