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Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for June 2025

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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 the following matters: • An SEC settlement with an ex-CEO...more

Proskauer - Regulatory & Compliance

SEC Settlement Highlights Risks for 13G Filers When Moving from Passive to Active Status

Proskauer - Regulatory & Compliance on

The SEC’s recent enforcement settlement involving a fund manager highlights the SEC’s focus on an investor’s “control purpose” triggering the requirement to file on a Schedule 13D as opposed to a short-form 13G. At issue was...more

Goodwin

Antitrust Enforcers At It Again: More HSR Actions Against Individuals Announced

Goodwin on

In a trend that is sure to continue no matter the policy leanings of the incoming Trump administration, the Federal Trade Commission (FTC) announced this week that it has obtained nearly $1 million in civil penalties for two...more

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