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 ,
Corporate Counsel ,
Digital Assets ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Insider Trading ,
Investment Adviser ,
Investors ,
Ponzi Scheme ,
Popular ,
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, 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
On May 14, 2025, Deputy Enforcement Director Antonia Apps told those gathered at an anti‑money laundering conference in Washington, D.C. to expect a more measured approach from SEC Enforcement. That may include, she...more
6/25/2025
/ Anti-Money Laundering ,
Broker-Dealer ,
Corporate Counsel ,
Cryptocurrency ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
International Chamber of Commerce (ICC) ,
Investment Adviser ,
Investment Management ,
Penalties ,
Popular ,
Real Estate Development ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Settlement
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
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:
•An SEC action alleging an insider trading scheme and...more
4/23/2025
/ Climate Change ,
Corporate Counsel ,
Enforcement Actions ,
Fiduciary Duty ,
Insider Trading ,
Investment Adviser ,
Ponzi Scheme ,
Private Funds ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
On April 7, 2025, Deputy Attorney General Todd Blanche issued a memo (the “Blanche Memo”) announcing the Trump administration’s Department of Justice (“DOJ”) refocus of enforcement policies related to investigations and...more
4/11/2025
/ CFTC ,
Corporate Counsel ,
Crypto Exchanges ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Digital Assets ,
Enforcement Actions ,
Money Laundering ,
Regulatory Violations ,
Securities Fraud ,
Trump Administration
On January 17, 2025, a few days before the presidential inauguration, the SEC reported a record-breaking first quarter of fiscal year 2025 (October through December 2024) with 200 total enforcement actions, including 118...more
2/27/2025
/ Artificial Intelligence ,
Compliance ,
Corporate Counsel ,
Corporate Governance ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Fraud ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Whistleblowers
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:
•Insider trading charges against a professor overseeing...more
1/28/2025
/ Compliance ,
Corporate Counsel ,
Corporate Governance ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Crimes ,
Financial Services Industry ,
Fraud ,
Insider Trading ,
Perks ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Settlement
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 case against crypto firm Kraken is permitted to...more
9/25/2024
/ Collateralized Loan Obligations ,
Corporate Counsel ,
Cryptocurrency ,
Cyber Attacks ,
Cybersecurity ,
Digital Assets ,
Instant Messaging Apps ,
Investment Adviser ,
Investment Contract ,
MNPI ,
Popular ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Securities Act of 1933 ,
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. This month, we examine:
•Judge Paul Engelmayer’s decision on defendants’ motion to...more
8/22/2024
/ Broker-Dealer ,
Corporate Counsel ,
Cryptocurrency ,
Decentralized Finance (DeFi) ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Illegal Trading ,
Investment Adviser ,
Investment Firms ,
Online Platforms ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
SolarWinds
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 Supreme Court’s Jarkesy decision and its impact on the...more
7/16/2024
/ Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Corporate Counsel ,
Dodd-Frank ,
Glass Lewis ,
Insider Trading ,
Institutional Shareholder Services (ISS) ,
Investment Advisers Act of 1940 ,
Proxy Advisory Firms ,
Rule 10b-5 ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Tokens ,
Seventh Amendment
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 permanent suspension of an audit firm and its owner for...more
6/28/2024
/ CEOs ,
Corporate Counsel ,
Cyber Incident Reporting ,
Fraud ,
Insider Trading ,
Loans ,
PCAOB ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Stock Prices ,
Taxable Income
On June 21, 2024, a jury in California federal court found a former chief executive officer of a publicly traded healthcare company guilty of insider trading in United States v. Peizer, the first criminal insider-trading case...more
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 first “Shadow Trading” trial;
•SCOTUS’s...more
5/21/2024
/ Books & Records ,
Breach of Duty ,
Climate Change ,
Compliance ,
Corporate Counsel ,
Cryptocurrency ,
Data Privacy ,
Insider Trading ,
Investment Advisers Act of 1940 ,
Macquarie Infrastructure Corp v Moab Partners LP ,
Marketing ,
Misappropriation ,
Non-Public Information ,
Omissions ,
Regulation S-K ,
Reporting Requirements ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Stays
On April 5, 2024, a jury in California federal court found a former corporate executive liable for insider trading in SEC v. Panuwat, a novel enforcement action involving a theory known as “shadow trading.” In Panuwat, the...more
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 expanded definition of securities dealers; -
•An...more
3/26/2024
/ Arbitrary and Capricious ,
Corporate Counsel ,
Cryptocurrency ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
New Amendments ,
Private Funds ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Traders
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)
To provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary resources....more
1/18/2024
/ Coinbase ,
Corporate Counsel ,
Cryptocurrency ,
Decentralized Autonomous Organization (DAO) ,
Disclosure Requirements ,
ICFR ,
Repurchases ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Stock Repurchases ,
Unregistered Securities
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 announcement of its Fiscal Year 2023 enforcement...more
12/18/2023
/ Charter Communications ,
Constitutional Challenges ,
Corporate Counsel ,
Corporate Governance ,
Cryptocurrency ,
Cyber Crimes ,
Enforcement Actions ,
Hackers ,
Internal Controls ,
Remedies ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Share Buybacks ,
Whistleblowers
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
9/15/2023
/ Bitcoin ,
Corporate Counsel ,
Enforcement Actions ,
False Statements ,
Investment Adviser ,
Marketing ,
Misleading Statements ,
Non-Fungible Tokens (NFTs) ,
Online Platforms ,
Private Funds ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Unregistered Securities
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
8/15/2023
/ Anti-Money Laundering ,
Broker-Dealer ,
Corporate Counsel ,
Cryptoassets ,
Cyber Attacks ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Failure-to-File ,
Form 8-K ,
Investment ,
Investment Adviser ,
Investors ,
Popular ,
Ripple ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Special Purpose Acquisition Companies (SPACs) ,
Suspicious Activity Reports (SARs)
Based on updates to its rulemaking agenda that were released last week, the U.S. Securities and Exchange Commission (SEC) has delayed approval of two cybersecurity rules until at least October 2023. Both proposed rules were...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources....more
6/14/2023
/ Conflicts of Interest ,
Corporate Counsel ,
Digital Assets ,
Disclosure Requirements ,
Enforcement Actions ,
Failure To Disclose ,
Investment Adviser ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Share Buybacks ,
Special Purpose Acquisition Companies (SPACs) ,
Transparency
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. ...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources...more
4/21/2023
/ Accounting Fraud ,
Brazil ,
CEOs ,
Corporate Counsel ,
Cryptocurrency ,
Cyber Incident Reporting ,
Cybersecurity ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Failure To Disclose ,
Fraud ,
Misleading Statements ,
Perks ,
Popular ,
Ransomware ,
Safety Standards ,
Securities and Exchange Commission (SEC) ,
U.S. Navy ,
Unregistered Securities