The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
10/14/2024
/ Administrative Procedure Act ,
Broker-Dealer ,
Chevron Deference ,
Coinbase ,
Conflicts of Interest ,
Cryptoassets ,
Cyber Attacks ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Insider Trading ,
Institutional Investors ,
Internal Controls ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Loper Bright Enterprises v Raimondo ,
Market Manipulation ,
Pay-To-Play ,
SCOTUS ,
SEC v Jarkesy ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
SolarWinds
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
4/5/2024
/ Aiding and Abetting ,
Audits ,
Block Trades ,
Broker-Dealer ,
Civil Monetary Penalty ,
Compliance ,
Criminal Liability ,
Enforcement Actions ,
ETFs ,
Failure To Disclose ,
Fiduciary Rule ,
Foreign Corrupt Practices Act (FCPA) ,
Forfeiture ,
Fraud ,
Influencers ,
Insider Trading ,
Institutional Shareholder Services (ISS) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
Material Nonpublic Information ,
Misleading Statements ,
Misrepresentation ,
Morgan Stanley ,
Offerings ,
PCAOB ,
Proxy Advisory Firms ,
Publicly-Traded Companies ,
Regulation M ,
Restitution ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
Settlement ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblower Protection Policies