In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from May 2025. In May 2025: More ongoing developments in the crypto enforcement area at the US...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from March 2025. In March 2025: US Securities and Exchange Commission (SEC or the Commission)...more
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
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
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from December 2024. In December 2024: President-elect Trump nominated former SEC Commissioner Paul...more
1/15/2025
/ Broker-Dealer ,
Digital Assets ,
Disclosure Requirements ,
Enforcement Actions ,
Investment ,
Investment Adviser ,
Investment Management ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Unregistered Securities
The US Securities and Exchange Commission’s (SEC’s) Division of Examinations released its annual report of examination priorities on October 21, 2024 (the Exam Priorities). The annual Exam Priorities report, which is designed...more
11/1/2024
/ Broker-Dealer ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Form CRS ,
Investment Adviser ,
Regulation Best Interest ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Standard of Conduct
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from August 2024. In August 2024: The SEC announced its latest round of “off-channel...more
In a 6-3 decision, the US Supreme Court on June 27, 2024, in Securities and Exchange Commission v. Jarkesy held that the Seventh Amendment of the US Constitution entitles a defendant to a jury trial when the US Securities and...more
7/1/2024
/ Administrative Authority ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Civil Monetary Penalty ,
Constitutional Challenges ,
Enforcement Actions ,
Jury Trial ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Separation of Powers ,
Seventh Amendment