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Latest Posts › Securities and Exchange Commission (SEC)

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Securities Enforcement Roundup – March 2025

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from March 2025. In March 2025: US Securities and Exchange Commission (SEC or the Commission)...more

4/10/2025 / Appeals , Broker-Dealer , Climate Change , Cryptocurrency , Digital Assets , Enforcement Actions , Investment Adviser , Securities and Exchange Commission (SEC) , Securities Fraud , Securities Regulation

Securities Enforcement Roundup – January 2025

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from January 2025. In January 2025: The US Securities and Exchange Commission (SEC) announced the...more

2/6/2025 / Broker-Dealer , Compliance , Cryptoassets , Cryptocurrency , Digital Assets , Enforcement Actions , FinTech , Investment Adviser , Recordkeeping Requirements , Securities and Exchange Commission (SEC)

Current Developments in SEC Enforcement for Private Funds and a Look Ahead 2024–2025

In 2024, private funds continued to be a major focus for the US Securities and Exchange Commission (SEC), with an active docket of enforcement cases and rulemaking efforts. Although we expect 2025 to include a continued...more

2/4/2025 / Enforcement Actions , Fraud , Investment Funds , Investment Management , Private Equity Funds , Private Funds , Retail Investors , Securities and Exchange Commission (SEC) , Securities Regulation

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