In October 2024, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) announced settlements with Raytheon Company, a division of multinational defense contractor RTX, over defective pricing and...more
2/3/2025
/ Arms Export Control Act ,
Compliance ,
Corporate Misconduct ,
Defense Sector ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Export Controls ,
False Claims Act (FCA) ,
Federal Contractors ,
Foreign Corrupt Practices Act (FCPA) ,
ITAR ,
Raytheon ,
Securities and Exchange Commission (SEC) ,
Whistleblowers ,
White Collar Crimes
The SEC’s Division of Examinations got a head start this fiscal year, announcing its 2024 Examination Priorities (2024 Priorities) at the beginning of the fiscal year for the first time. This novel approach likely signifies...more
10/25/2023
/ Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Investment Adviser ,
Market Participants ,
Municipal Advisers ,
Regulation Best Interest ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Transfer Agents