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SEC Enforcement 2024: Year in Review

The dog days of late summer are a frenzied time within the SEC's Division of Enforcement as staff work feverishly to complete their investigations and secure the requisite yes vote from a majority of commissioners to...more

Winds of Change: SEC's SolarWinds Lawsuit Signals Hotter Cybersecurity Enforcement

The SEC on Oct. 30, 2023, filed a landmark cybersecurity enforcement action against SolarWinds Corp. (SolarWinds) and the company's current Chief Information Security Officer (CISO) Timothy Brown. The SEC's complaint alleges...more

Good as Gold? Dual SEC/CFTC Trials Loom for Alleged Precious Metals Coin Fraud

Digital assets are not the only coins drawing regulatory scrutiny these days. Earlier this year, the U.S. Securities and Exchange Commission (SEC) announced that it filed a complaint against California-based Red Rock Secured...more

SEC Settlements Over Whistleblower Protections Pile Up

As the SEC closed its fiscal year, it filed three separate enforcement actions against companies for purported violations of Rule 21F-17 under the Securities and Exchange Act of 1934, which prohibits persons from impeding...more

Executive Perks: A Hammer Finds Its Nail in SEC Settlement with Tool Company

We return once more to the issue of public company executive perquisites or "perks" – a topic we anticipated last year would "be a hot-button enforcement issue for the foreseeable future." We were not wrong. In light of the...more

SEC to Issuers: Retaliating Against or Impeding Whistleblowers Is Not Zen

Public companies should be mindful not to interfere with or retaliate against whistleblowers, and stretching is best reserved for the yoga mat, not the numbers in a company's public disclosures. So says the U.S. Securities...more

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