“Back to basics” is a popular refrain in describing SEC Enforcement during the second Trump Administration. In part, that implies the Commission has dropped cases against crypto firms, turned away from big-fine cases about...more
11/19/2025
/ Broker-Dealer ,
Conflicts of Interest ,
Corporate Counsel ,
Corporate Misconduct ,
Disclosure Requirements ,
Enforcement Actions ,
Fiduciary Duty ,
Investment Adviser ,
Negligence ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC)
While the federal financial regulators largely remain furloughed due to the federal government shutdown, the release of the North American Securities Administrators Association (“NASAA”) 2025 Enforcement Report last week...more
10/23/2025
/ Artificial Intelligence ,
Blockchain ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
Enforcement Statistics ,
Fraud ,
Government Shutdown ,
Investment Management ,
NASAA ,
Regulatory Oversight
On September 18, 2025, the Department of Justice announced that a New Jersey drydock and repair company paid more than $4 million to resolve an FCA investigation alleging that its subcontractors knowingly employed...more
10/8/2025
/ Cybersecurity ,
Cybersecurity Maturity Model Certification (CMMC) ,
Defense Sector ,
Department of Defense (DOD) ,
Department of Justice (DOJ) ,
Diversity and Inclusion Standards (D&I) ,
E-Verify ,
Enforcement Actions ,
False Claims Act (FCA) ,
Federal Contractors ,
Fraud ,
Government Investigations ,
Popular ,
Tariff Act of 1930 ,
Tariffs ,
Transgender ,
Whistleblowers
The SEC’s longstanding practice of requiring settling parties not to deny the charges against them, denounced as the “gag rule” by critics, recently withstood another legal challenge. ...more
8/28/2025
/ Administrative Proceedings ,
Appeals ,
Constitutional Challenges ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
First Amendment ,
Free Speech ,
Gag Rule ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Settlement ,
Standing ,
Unconstitutional Condition
The Trump Administration will most likely move quickly to align the federal government’s priorities with the President’s own. While the Administration has not detailed all of its plans for government contracting/procurement,...more
1/23/2025
/ Buy American Act ,
Climate Change ,
Defense Sector ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Executive Orders ,
False Claims Act (FCA) ,
Federal Acquisition Regulations (FAR) ,
Federal Contractors ,
Federal Procurement Systems ,
Government Efficiency ,
Trade Agreements Act ,
Trump Administration
How will President-elect Trump’s reelection impact the SEC’s enforcement priorities? We looked for clues from the first Trump Administration’s Enforcement program, and also from the agency’s current Republican Commissioners....more
12/3/2024
/ Compliance ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Priorities ,
Insider Trading ,
Regulatory Agenda ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Trump Administration