On January 17, 2025, a few days before the presidential inauguration, the SEC reported a record-breaking first quarter of fiscal year 2025 (October through December 2024) with 200 total enforcement actions, including 118...more
2/27/2025
/ Artificial Intelligence ,
Compliance ,
Corporate Counsel ,
Corporate Governance ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Fraud ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Whistleblowers
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•Insider trading charges against a professor overseeing...more
1/28/2025
/ Compliance ,
Corporate Counsel ,
Corporate Governance ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Crimes ,
Financial Services Industry ,
Fraud ,
Insider Trading ,
Perks ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Settlement
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, SEC Chair Gary Gensler announced his imminent departure in January 2025...more
12/23/2024
/ American Depository Receipts (ADRs) ,
Anti-Fraud Provisions ,
Bribery ,
Broker-Dealer ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Foreign Corrupt Practices Act (FCPA) ,
Gambling ,
Green Energy ,
Investment Advisers Act of 1940 ,
Investors ,
Japan ,
Misleading Impressions ,
Misleading Statements ,
Renewable Energy ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
Each month, we publish a roundup of the most important SEC enforcement developments for busy in house lawyers and compliance professionals. This month included the SEC’s fiscal year end and a large number of enforcement...more
10/25/2024
/ Bribery ,
Cryptocurrency ,
Digital Media ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Foreign Corrupt Practices Act (FCPA) ,
Form 10-K ,
John Deere ,
MNPI ,
Political Corruption ,
Regulation FD ,
Scams ,
Securities and Exchange Commission (SEC) ,
Social Media
Each month we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•The Fifth Circuit’s stay of the SEC’s recent adoption of...more
4/24/2024
/ Artificial Intelligence ,
Climate Change ,
Coinbase ,
Cryptoassets ,
Disclosure Requirements ,
Enforcement ,
Fiduciary Duty ,
Fraud ,
Greenhouse Gas Emissions ,
Investment Advisers Act of 1940 ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Stays ,
Unregistered Brokers
To provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary resources....more
1/18/2024
/ Coinbase ,
Corporate Counsel ,
Cryptocurrency ,
Decentralized Autonomous Organization (DAO) ,
Disclosure Requirements ,
ICFR ,
Repurchases ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Stock Repurchases ,
Unregistered Securities
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
8/15/2023
/ Anti-Money Laundering ,
Broker-Dealer ,
Corporate Counsel ,
Cryptoassets ,
Cyber Attacks ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Failure-to-File ,
Form 8-K ,
Investment ,
Investment Adviser ,
Investors ,
Popular ,
Ripple ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Special Purpose Acquisition Companies (SPACs) ,
Suspicious Activity Reports (SARs)
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources....more
6/14/2023
/ Conflicts of Interest ,
Corporate Counsel ,
Digital Assets ,
Disclosure Requirements ,
Enforcement Actions ,
Failure To Disclose ,
Investment Adviser ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Share Buybacks ,
Special Purpose Acquisition Companies (SPACs) ,
Transparency
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources...more
4/21/2023
/ Accounting Fraud ,
Brazil ,
CEOs ,
Corporate Counsel ,
Cryptocurrency ,
Cyber Incident Reporting ,
Cybersecurity ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Failure To Disclose ,
Fraud ,
Misleading Statements ,
Perks ,
Popular ,
Ransomware ,
Safety Standards ,
Securities and Exchange Commission (SEC) ,
U.S. Navy ,
Unregistered Securities
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary...more
1/17/2023
/ Anti-Money Laundering ,
AT&T ,
Corporate Counsel ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Enforcement Actions ,
Hedge Funds ,
Investors ,
Know Your Customers ,
Misappropriation ,
MNPI ,
Regulation FD ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)
On December 14, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended (the Exchange Act), and adopted...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
9/7/2022
/ Asset Tokens ,
Corporate Counsel ,
Cryptoassets ,
Cryptocurrency ,
Disclosure Requirements ,
Dodd-Frank ,
Enforcement Actions ,
Failure To Disclose ,
False Reporting ,
Fraud ,
Investors ,
Principal Executive Officer ,
Securities and Exchange Commission (SEC) ,
Shareholders
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources....more
6/7/2022
/ Administrative Law Judge (ALJ) ,
Corporate Counsel ,
Cryptoassets ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Investigations ,
Investment Adviser ,
NVIDIA ,
Popular ,
SCOTUS ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Task Force on Climate-related Financial Disclosures (TCFD)
On March 30, 2022, the U.S. Securities and Exchange Commission (SEC) proposed new rules and amendments relating to special purpose acquisition companies (SPACs). The SEC indicated these proposals are meant to enhance...more
4/11/2022
/ Corporate Counsel ,
Disclosure Requirements ,
Financial Statements ,
GAAP ,
Initial Public Offering (IPO) ,
Investment Company Act of 1940 ,
Proposed Amendments ,
PSLRA ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Shell Corporations ,
Special Purpose Acquisition Companies (SPACs)
As a fitting cap to a busy month, on March 30, the SEC Division of Examinations announced its 2022 Examination Priorities. These priorities are consistent with the recent activities of the SEC more generally, as exemplified...more
4/6/2022
/ Chief Compliance Officers ,
Cybersecurity ,
Digital Assets ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Company Act of 1940 ,
Investors ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)
On December 15, 2021, the U.S. Securities and Exchange Commission (the SEC) proposed amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and...more
12/17/2021
/ 10b5-1 Plans ,
Cooling-Off Rule ,
Corporate Governance ,
Disclosure Requirements ,
Gary Gensler ,
Good Faith ,
Insider Trading ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation