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Latest Posts › Securities and Exchange Commission (SEC)

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Securities Enforcement Roundup – July 2025

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from July 2025. In July 2025: As part of its FINRA Forward program, FINRA CEO Robert Cook announced a new...more

8/13/2025 / Administrative Procedure Act , Appeals , Broker-Dealer , Conflicts of Interest , Cryptoassets , Digital Assets , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Regulatory Reform , Securities and Exchange Commission (SEC)

Current Developments in SEC Enforcement for Public Companies and a Look Ahead 2024–2025

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

2/3/2025 / Corporate Governance , Corporate Misconduct , Enforcement Actions , Investors , Publicly-Traded Companies , Reporting Requirements , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations

Securities Enforcement Roundup – August 2024

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

9/9/2024 / Disclosure Requirements , Enforcement Actions , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations

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