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Enforcement Actions › Securities Regulation › SEC Examination Priorities

Troutman Pepper Locke

SEC Reportedly Announces Major Reorganization of Enforcement and Exams Divisions

Troutman Pepper Locke on

The U.S. Securities and Exchange Commission (SEC) has reportedly announced internally a major reorganization of its enforcement and exams divisions. This restructuring, effective April 9, 2025, was detailed in a staff memo...more

Herbert Smith Freehills Kramer

Corporate Governance: 2024 Year-End Review

Herbert Smith Freehills Kramer on

As 2025 begins, we cover several significant corporate governance developments that occurred in the second half of 2024 and since our Corporate Governance: 2024 Midyear Review was published in August. We first highlight...more

SEC Compliance Consultants, Inc. (SEC³)

October and November 2024 Regulatory Roundup

SEC Compliance Consultants, Inc. (SEC³) on

After its fiscal year-end frenzy in September, the SEC relaxed slightly, with no new rule-making and fewer enforcement actions. So, I took a break last month and combined the October and November Roundups. (You’re welcome.)...more

Sullivan & Worcester

2024 Investment Adviser Regulatory and Compliance Annual Letter

Sullivan & Worcester on

In 2024, investment advisers – those registered with the U.S. Securities and Exchange Commission (SEC) and those that file notices as exempt reporting advisers - will continue to feel the impact of the SEC’s recent rule...more

Proskauer - The Capital Commitment

Insider Trading, MNPI and Related Internal Controls: A Renewed Focus by SEC

Proskauer - The Capital Commitment on

Over the past few years, the SEC has brought fewer insider trading and Material Non-Public Information (MNPI)-related cases compared to historical numbers. We expect to see a reversal of that trend in 2022. The SEC has...more

Morgan Lewis

Challenges Facing Public Companies in the Age of COVID-19

Morgan Lewis on

Public companies should consider recent guidance from the US Securities and Exchange Commission, increased examination and enforcement activity at both federal and state levels, and possible shareholder activism, among other...more

Morgan Lewis

SEC Examinations and Enforcement in the COVID-19 Era

Morgan Lewis on

Recent announcements from the US Securities and Exchange Commission make it clear that, although it will not be business as usual, the agency will ably navigate the coronavirus (COVID-19) crisis and its work will move...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Enters Election Year Focused on Key Initiatives

Skadden, Arps, Slate, Meagher & Flom LLP on

As Chairman Jay Clayton’s tenure at the Securities and Exchange Commission (SEC) likely enters its final year — regardless of the outcome of the next presidential election — the SEC remains focused on priorities such as...more

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