Registered entities continued to be a significant focus of the US Securities and Exchange Commission’s (SEC’s or Commission’s) enforcement and rulemaking programs in 2022, and we expect similar attention this year. The SEC’s...more
3/2/2023
/ Administrative Law Judge (ALJ) ,
Broker-Dealer ,
CFTC ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies
Morgan Lewis’s securities enforcement and investment management teams highlight expected US Securities and Exchange Commission (SEC or Commission) priorities for investment advisers in 2022 and look back at significant SEC...more
Morgan Lewis’s securities enforcement and investment management teams highlight expected US Securities and Exchange Commission (SEC or Commission) priorities for private fund managers in 2022 and look back at SEC private fund...more
Public companies should consider recent guidance from the US Securities and Exchange Commission, increased examination and enforcement activity at both federal and state levels, and possible shareholder activism, among other...more
Recent announcements from the US Securities and Exchange Commission make it clear that, although it will not be business as usual, the agency will ably navigate the coronavirus (COVID-19) crisis and its work will move...more