On January 17, 2025, a few days before the presidential inauguration, the SEC reported a record-breaking first quarter of fiscal year 2025 (October through December 2024) with 200 total enforcement actions, including 118...more
2/27/2025
/ Artificial Intelligence ,
Compliance ,
Corporate Counsel ,
Corporate Governance ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Fraud ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Whistleblowers
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•Accounting fraud charges for allegedly concealing costs;...more
11/29/2024
/ Accounting Fraud ,
Aerospace ,
Artificial Intelligence ,
Bribery ,
Civil Monetary Penalty ,
Cryptocurrency ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Greenwashing ,
Misleading Statements ,
Popular ,
Securities and Exchange Commission (SEC) ,
Unregistered Brokers
Given the recent news about President-Elect Trump’s cabinet appointments , it is a safe bet that the SEC Division of Enforcement’s priorities will change under the new administration. Under President Biden, SEC Chair Gary...more
11/15/2024
/ Artificial Intelligence ,
Board of Governors ,
Corner Post Inc v Board of Governors of the Federal Reserve System ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Insider Trading ,
Loper Bright Enterprises v Raimondo ,
Securities and Exchange Commission (SEC) ,
Share Buybacks ,
Trump Administration
Each month we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•The Fifth Circuit’s stay of the SEC’s recent adoption of...more
4/24/2024
/ Artificial Intelligence ,
Climate Change ,
Coinbase ,
Cryptoassets ,
Disclosure Requirements ,
Enforcement ,
Fiduciary Duty ,
Fraud ,
Greenhouse Gas Emissions ,
Investment Advisers Act of 1940 ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Stays ,
Unregistered Brokers
On March 18, 2024, the SEC announced—in videos posted on YouTube and Twitter—regulatory actions against two investment advisers for “AI washing,” a practice defined by the SEC as “making false artificial intelligence-related...more
3/21/2024
/ Anti-Fraud Provisions ,
Artificial Intelligence ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
NASAA ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
SIFMA