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Securities and Exchange Commission (SEC) › Administrative Procedure › Securities Regulation

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: June 1, 2025

Nutter McClennen & Fish LLP on

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

SEC Compliance Consultants, Inc. (SEC³)

Tips for SEC Exam Preparedness

SEC Compliance Consultants, Inc. (SEC³) on

For your reading pleasure, we present a list of tips for surviving a routine SEC Examination. This list has been compiled by SEC3 employees including ex-SEC examiners. It is not to be considered all-inclusive and is provided...more

Herbert Smith Freehills Kramer

Supreme Court Grants Certiorari to Determine Constitutionality of SEC Administrative Law Process

Herbert Smith Freehills Kramer on

On June 30, 2023, the Supreme Court granted certiorari in Securities and Exchange Commission v. Jarkesy to review a decision by the Fifth Circuit rejecting key aspects of the Securities and Exchange Commission’s (SEC or the...more

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