Securities, Reporting Requirements, Enforcement Actions

Private Placements in South Carolina: A Primer on Federal and State Securities Registration

DarrowEverett LLP on 3/27/2025

With an estimated 34 people moving to the Charleston area each day and with South Carolina claiming one of the fastest-growing populations in the nation last year , the post-COVID increase in the number of private placement...more

SEC Delivers its Enforcement Report, Industry Says Goodbye to SEC Chair Gensler, and Lessons on Third-Party Transfers and...

SEC Compliance Consultants, Inc. (SEC³) on 12/31/2024

Welcome to our December 20243 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with the SEC’s 2024 enforcement results, which fell somewhat short after its 2023...more

Nutter Securities Enforcement Update: January 1, 2024

Nutter McClennen & Fish LLP on 1/17/2024

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

Bridging the Weeks - August 2018 #4

Katten Muchin Rosenman LLP on 8/28/2018

The Commodity Futures Trading Commission revised its rule related to the responsibilities of chief compliance officers of futures commission merchants, swap dealers and major swap participants, as well as the obligations of...more

The “New” Face of Corporate Misconduct

The Volkov Law Group on 1/25/2017

As we look across the corporate governance landscape and focus on the spikes of corporate scandals, I started to wonder if there was any pattern or trend to the nature of corporate scandals....more

SEC Enforcement Actions for Failure to Report Sales of Unregistered Securities

Stinson - Corporate & Securities Law Blog on 9/28/2016

On two successive days, the SEC brought settled enforcement actions against issuers for failure to report sales of unregistered securities. Under Item 1.01 of Form 8-K, a registrant must disclose its entry into a material...more