Podcast - Trends Affecting the Grocer and Retail Space
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
States Sue SEC in Ongoing Fight Over Reg BI
SEC Activity with Fixed Income and Credit Funds
There has not been much news regarding SEC enforcement lately, but today the SEC and DOJ both charged a founder of a Washington-based water vending machine manufacturer Water Station Management, LLC and two related companies...more
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
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
Who may be interested: Investment Advisers - Quick Take: The SEC filed a complaint in federal court charging activist short publisher Andrew Left and Citron Capital, LLC, an investment adviser he operated, with securities...more
On July 26, 2024, the Securities and Exchange Commission (SEC) filed a Complaint in the U.S. District Court in Los Angeles charging activist short publisher Andrew Left and Citron Capital, LLC, an investment adviser he...more
As a reminder, the Securities and Exchange Commission (SEC) and the National Association of Private Fund Managers (NAPFM) and the other Petitioners in the Private Funds Rules Litigation1 requested that the three-judge panel...more
A recent enforcement action from the Fort Worth Regional Office of the SEC reminds one of the agency's investor-protection mission and continued focus on those who deceive retail investors in the private offer and sale of...more
Recent enforcement actions show that the federal government is once again clamping down on online boiler rooms. Last year, the Securities and Exchange Commission filed a civil complaint against Steven Gallagher, with the...more
The SEC charged fifteen individuals with acting as unregistered brokers or aiding-and-abetting such activity in connection with Intertech Solutions, Inc.’s fraudulent and unregistered securities offerings....more