Insider Trading, Securities Regulation, Financial Services Industry

The Life of Former SEC Chair (and Corp Fin Director) Manny Cohen

Cooley LLP on 7/23/2025

Recently, I blogged about the 20 Corp Fin Directors we’ve had at the SEC (we haven’t heard yet who will be the new Corp Fin Director) – and it got me thinking about Manny Cohen, whom many of us don’t know much about since he...more

Developments in SEC and FINRA Enforcement and Exams for Investment Advisers and Broker-Dealers: 2024–2025

Morgan Lewis on 2/21/2025

The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY 2025. If history serves as a...more

Key Points From BCLP's Recent Public Company Update Program

BCLP on 2/11/2025

BCLP hosted its annual CLE event, "Public Company Update and Other Trending Topics,” in St. Louis recently. Some of the key issues covered by the event, along with some takeaway considerations for companies, include the...more

Top 5 SEC Enforcement Developments for December 2024

Morrison & Foerster LLP on 1/28/2025

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •Insider trading charges against a professor overseeing...more

The US Attorney's Office for the Central District of California Announces Securities Fraud Task Force

Troutman Pepper Locke on 10/13/2023

On October 4, U.S. Attorney for the Central District of California Martin Estrada announced the formation of a new task force, the Corporate and Securities Fraud Strike Force....more

Nutter Securities Enforcement Update: December 1, 2022

Nutter McClennen & Fish LLP on 12/1/2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more