Insider Trading, Investment Adviser, Administrative Proceedings

SEC Enforcement in the Second Quarter of 2025

Bradley Arant Boult Cummings LLP on 7/15/2025

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

Navigating the Future: Key Takeaways & Insights from the 2024 Securities Enforcement Forum Central

Cozen O'Connor on 10/25/2024

One of the concerns following the Supreme Court’s ruling in SEC v. Jarkesy was that other agencies may face similar collateral attacks to its administrative proceedings. While the full impact of Jarkesy remains an open...more

President Biden Announces Gary Gensler as SEC Chair Nominee

Faegre Drinker Biddle & Reath LLP on 1/20/2021

On January 18, 2021, the incoming President’s Transition Team announced additional key administration post nominees, including Mr. Gary Gensler as SEC Chair. The announcement specifically provided the following regarding Mr....more

Investment Management Update

Ballard Spahr LLP on 1/20/2017

SEC Issues Guidance on Mutual Fund Fee Structure - The Securities and Exchange Commission’s (SEC) Division of Investment Management recently issued a guidance update addressing disclosure issues and certain procedural...more

2016 Year In Review: Securities Litigation And Regulation

Cadwalader, Wickersham & Taft LLP on 1/13/2017

2016 was an active year in securities litigation. In the first half of 2016 alone, plaintiffs filed 119 new federal class action securities cases. It was also a busy year for SEC enforcement proceedings, with a record 868...more

Securities Enforcement: 2016 Mid-Year Review

A&O Shearman on 7/20/2016

The Securities and Exchange Commission (the SEC or the Commission) brought over 400 enforcement actions in the first half of 2016 and is on pace to surpass its record of 807 enforcements actions in a single fiscal year, which...more