On November 22, 2024, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year of 2024. The report shows a mixed result. The SEC only brought 583 actions in FY 2024, a 26% decrease...more
On November 14, 2023, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year 2023. FY23 was another active year in terms of SEC enforcement, with a 3 percent increase in total...more
12/6/2023
/ Cryptoassets ,
Cryptocurrency ,
Cybersecurity ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fraud ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Unregistered Securities ,
Whistleblowers
On September 1, 2023, the Managed Funds Association and a group of private equity and hedge fund trade groups sued the U.S. Securities and Exchange Commission (SEC) in the United States Court of Appeals for the Fifth Circuit,...more
On January 25, 2023, the Securities and Exchange Commission (the Commission) voted unanimously to re-propose new Securities Act Rule 192. The proposed rule would prohibit securitization participants from engaging in...more