Insider Trading, Cybersecurity, Retail Investors

SEC Speaks 2025: Key Takeaways from Division of Enforcement Panels

Ropes & Gray LLP on 5/27/2025

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

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

BCLP on 12/3/2024

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

Private Funds Litigation/Regulatory Year in Review and 2019 Outlook

Pillsbury Winthrop Shaw Pittman LLP on 3/6/2019

Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention on investment advisers. The SEC will maintain its...more

Highlights From SEC Speaks 2018: Litigation and Enforcement Trends

Vedder Price on 3/1/2018

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more

SEC Speaks: 2017 Enforcement and Exam Trends for Private Funds

Proskauer - The Capital Commitment on 3/13/2017

At the recent SEC Speaks program, sponsored by PLI, senior SEC staff members provided valuable insight into the SEC’s 2017 priorities for private funds. While the tenor of this year’s discussion seemed to focus more on...more

SEC Speaks 2017

Morgan Lewis on 3/6/2017

Commission staff highlight key developments and successes in the SEC enforcement program. As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more