In May 2025, we summarized the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement activity during the first quarter of the new presidential administration. With the second quarter now concluded, and Paul...more
7/15/2025
/ Administrative Proceedings ,
Broker-Dealer ,
Corporate Counsel ,
Enforcement Actions ,
Financial Markets ,
Fraud ,
Insider Trading ,
Investment Adviser ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
On June 6, 2025, the U.S. Supreme Court denied a petition for certiorari in Navellier & Associates, Inc. v. SEC, declining to resolve a circuit split regarding the circumstances under which the U.S. Securities and Exchange...more
The new presidential administration began on January 20, 2025, and change came quickly to many federal agencies, including the U.S. Securities and Exchange Commission (SEC). On Inauguration Day, Paul S. Atkins was nominated...more
5/7/2025
/ Broker-Dealer ,
Corporate Counsel ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Fraud ,
Insider Trading ,
Investment Adviser ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
White Collar Crimes