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Regulatory Oversight › Department of Justice (DOJ) › Investment Adviser

Bradley Arant Boult Cummings LLP

SEC Enforcement in the First Quarter of the New Administration

Bradley Arant Boult Cummings LLP on

The new presidential administration began on January 20, 2025, and change came quickly to many federal agencies, including the U.S. Securities and Exchange Commission (SEC). On Inauguration Day, Paul S. Atkins was nominated...more

Alston & Bird

$1.8 Billion in SEC and CFTC Fines Highlights Continued Scrutiny of Unapproved Messaging Platforms

Alston & Bird on

Federal enforcement agencies continue to scrutinize investment advisers’ use of personal devices and messaging platforms to conduct business. Our team reviews how recent penalties should encourage companies to create internal...more

Polsinelli

BitBlog Weekly Summary

Polsinelli on

This summary covers the last two weeks which includes news about continued enforcement actions by the U.S. Securities and Exchange Commission (“SEC”) involving fraudulent digital asset transactions, dismissal of a securities...more

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