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Enforcement Priorities › Securities and Exchange Commission (SEC) › Retail Investors

Proskauer - The Capital Commitment

SEC Regulation in a Non-Regulatory Environment

Proskauer - The Capital Commitment on

With Paul Atkins as the new SEC Chair, the agency’s priorities have shifted away from many of the aggressive policies of former Chair Gensler. The first four months of the Republican controlled SEC saw a dramatic shift in the...more

Ropes & Gray LLP

SEC Speaks 2025: Key Takeaways from Division of Enforcement Panels

Ropes & Gray LLP on

The SEC’s Division of Enforcement intends to remain a “cop on the beat,” and will refocus on traditional core enforcement areas, such as insider trading, accounting and disclosure fraud, market manipulation, and breaches of...more

Venable LLP

SEC's New Cyber and Emerging Technologies Unit to Replace Crypto Unit and Focus on Fraud, AI, Social Media, and Hacking in...

Venable LLP on

Recently, the Securities and Exchange Commission announced the creation of a Cyber and Emerging Technologies Unit (CETU), a group of 30 fraud specialists and attorneys spread across the SEC's offices around the country to...more

BCLP

SEC Enforcement Tea Leaves: Expected Priorities in the Second Trump Administration

BCLP on

How will President-elect Trump’s reelection impact the SEC’s enforcement priorities? We looked for clues from the first Trump Administration’s Enforcement program, and also from the agency’s current Republican Commissioners....more

Goodwin

Newly Appointed Federal Watchdogs Warn they are Focused on Private Funds

Goodwin on

Private funds can draw lessons about how to prioritize their compliance efforts and practices in response to a series of warnings by newly-appointed federal regulators of increased scrutiny, regulation, and enforcement...more

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