The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
10/14/2024
/ Administrative Procedure Act ,
Broker-Dealer ,
Chevron Deference ,
Coinbase ,
Conflicts of Interest ,
Cryptoassets ,
Cyber Attacks ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Insider Trading ,
Institutional Investors ,
Internal Controls ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Loper Bright Enterprises v Raimondo ,
Market Manipulation ,
Pay-To-Play ,
SCOTUS ,
SEC v Jarkesy ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
Securities Violations ,
SolarWinds
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more
1/17/2024
/ Accounting ,
Accounting Fraud ,
Audits ,
Bonds ,
Credit Suisse ,
Disclosure Requirements ,
Enforcement Actions ,
Fraud ,
Insider Trading ,
Investment Adviser ,
Investment Company Act of 1940 ,
Market Manipulation ,
Material Misstatements ,
Offerings ,
Public Offerings ,
Publicly-Traded Companies ,
Registered Investment Advisors ,
Reporting Requirements ,
Rule 10b-5 ,
Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Securities Regulation ,
Special Purpose Acquisition Companies (SPACs) ,
State Securities Regulators ,
UBS
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
6/23/2023
/ Asset Management ,
Broker-Dealer ,
Cherry Picking ,
Conflicts of Interest ,
Cryptoassets ,
Enforcement Actions ,
False Statements ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
Offerings ,
Popular ,
Private Investment Funds ,
Registered Investment Advisors ,
Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Special Purpose Acquisition Companies (SPACs)
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
10/1/2022
/ 10b5-1 Plans ,
Accounting Standards ,
Audits ,
Civil Monetary Penalty ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Internal Controls ,
PCAOB ,
Rule 10b-5 ,
Securities ,
Securities Act of 1933 ,
Securities Exchange Act ,
Securities Violations ,
Settlement ,
Statute of Limitations
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
7/6/2022
/ Broker-Dealer ,
Compliance ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Market Manipulation ,
NRSRO ,
Offerings ,
Regulatory Authority ,
Securities ,
Securities Exchange Act ,
Securities Violations
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
3/2/2022
/ Accounting Standards ,
Audits ,
Broker-Dealer ,
Enforcement ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Investment Adviser ,
Offerings ,
Securities ,
Securities and Exchange Commission (SEC)