Latest Posts › Securities and Exchange Commission (SEC)

Share:

The SEC (and Other Agencies) Could Lose a Powerful Enforcement Tool

The U.S. Supreme Court will decide whether the use of administrative law judges passes constitutional muster If the U.S. Supreme Court upholds a recent Fifth Circuit ruling, it could end the use of administrative proceedings...more

SEC Sues Coinbase: What Does It Mean For Other Crypto Companies?

After months of bad news for cryptocurrency, the Securities and Exchange Commission’s latest moves could be apocalyptic for the industry. We previously wrote about the SEC’s Wells Notice issued to Coinbase in March 2023. A...more

Jaw-Dropping Development at the SEC: Coinbase Receives Wells Notice

In the latest stunning development in crypto policy, one of the industry’s largest exchanges is facing potential charges from the SEC. Coinbase, Inc. said on March 23, 2023, that it had received a “Wells Notice” from the U.S....more

SEC Finalizes Amendments to Trading Plans Rule

The U.S. Securities and Exchange Commission has released its much-anticipated rule amendments regarding the use of trading plans by insiders. On Dec. 14, 2022, the SEC finalized amendments to Rule 10b5-1 of the Securities...more

SEC Director’s Congressional Testimony Provides Further Insight into Enforcement Priorities

Recently, Gurbir Grewal, the U.S. Securities and Exchange Commission’s director of the Division of Enforcement, testified before the U.S. House of Representatives’ Subcommittee on Investor Protection, Entrepreneurship, and...more

Kokesh May Lead to Lower Monetary Sanctions in SEC Enforcement Proceedings

The U.S. Supreme Court’s recent decision in Kokesh v. SEC provides the defense bar with significant ammunition to argue for lower monetary sanctions in securities enforcement matters pending in federal district courts. In...more

Supreme Court Opens Pathway To Increased Insider Trading Prosecutions

On Dec. 6, 2016, the U.S. Supreme Court issued its much-awaited decision in Salman v. United States, upholding a “friends and family” insider-trading conviction and effectively overruling the Second Circuit’s decision in...more

June Marks Upsurge in SEC Whistleblower Awards

On June 9, 2016, the SEC announced a $17 million whistleblower award to “a former company employee whose detailed tip substantially advanced the agency’s investigation and ultimate enforcement action.” This is the...more

Rocky Mountain Securities Conference: Corporate Disclosures Reform Next for SEC

Newly proposed reforms to the U.S. Securities and Exchange Commission’s (SEC) disclosure regime would have a dramatic impact on public companies’ current disclosure obligations. Last week during her keynote at the 48th...more

9 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide