Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. For the month when Paul Atkins was sworn in as SEC Chairman, we examine:
• The SEC’s...more
5/28/2025
/ Corporate Counsel ,
Cryptocurrency ,
Enforcement ,
Enforcement Actions ,
Fraud ,
Investment ,
Investment Adviser ,
Investment Funds ,
Receivership ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Securities Violations ,
Stablecoins
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:
•An SEC action alleging an insider trading scheme and...more
4/23/2025
/ Climate Change ,
Corporate Counsel ,
Enforcement Actions ,
Fiduciary Duty ,
Insider Trading ,
Investment Adviser ,
Ponzi Scheme ,
Private Funds ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
To issue a subpoena for documents or testimony, Enforcement staff must first obtain a formal order. A formal order authorizes SEC staff “to administer oaths and affirmations, subpoena witnesses, compel their attendance, take...more
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, we examine:
•Accounting fraud charges for allegedly concealing costs;...more
11/29/2024
/ Accounting Fraud ,
Aerospace ,
Artificial Intelligence ,
Bribery ,
Civil Monetary Penalty ,
Cryptocurrency ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Greenwashing ,
Misleading Statements ,
Popular ,
Securities and Exchange Commission (SEC) ,
Unregistered Brokers
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:
•Judge Paul Engelmayer’s decision on defendants’ motion to...more
8/22/2024
/ Broker-Dealer ,
Corporate Counsel ,
Cryptocurrency ,
Decentralized Finance (DeFi) ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Illegal Trading ,
Investment Adviser ,
Investment Firms ,
Online Platforms ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
SolarWinds
On June 27, 2024, the Supreme Court decided in SEC v. Jarkesy that where the Securities and Exchange Commission (“SEC”) brings enforcement actions for civil penalties, it must do so in the federal courts, as opposed to before...more
7/1/2024
/ Administrative Authority ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Civil Monetary Penalty ,
Constitutional Challenges ,
Enforcement Actions ,
Jury Trial ,
NLRB ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Separation of Powers ,
Seventh Amendment
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 SEC’s approval of spot bitcoin ETPs; -
•SEC charges...more
2/27/2024
/ Bitcoin ,
Corporate Counsel ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Initial Public Offering (IPO) ,
PCAOB ,
Ponzi Scheme ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Special Purpose Acquisition Companies (SPACs)
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 SEC’s announcement of its Fiscal Year 2023 enforcement...more
12/18/2023
/ Charter Communications ,
Constitutional Challenges ,
Corporate Counsel ,
Corporate Governance ,
Cryptocurrency ,
Cyber Crimes ,
Enforcement Actions ,
Hackers ,
Internal Controls ,
Remedies ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Share Buybacks ,
Whistleblowers
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
10/26/2023
/ CEOs ,
CFOs ,
Confidentiality Agreements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Failure to Report ,
False Statements ,
Fraud ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
MNPI ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Whistleblower Protection Policies ,
Whistleblowers
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
9/15/2023
/ Bitcoin ,
Corporate Counsel ,
Enforcement Actions ,
False Statements ,
Investment Adviser ,
Marketing ,
Misleading Statements ,
Non-Fungible Tokens (NFTs) ,
Online Platforms ,
Private Funds ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
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
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
2/20/2023
/ Business Conduct Standards ,
CEOs ,
Corporate Counsel ,
Cryptocurrency ,
Cyber Attacks ,
Disclosure ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Fixed Income Investments ,
Intent to Defraud ,
Investors ,
Lending Programs ,
McDonalds ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
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)
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
12/13/2022
/ Bitcoin ,
Blockchain ,
Corporate Counsel ,
Cryptocurrency ,
Decentralized Finance (DeFi) ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
File Sharing ,
Goldman Sachs ,
Howey ,
Investment ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Ponzi Scheme ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
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
11/11/2022
/ Blockchain ,
Corporate Counsel ,
Duty to Disclose ,
Enforcement Actions ,
Insider Trading ,
PCAOB ,
Rules of Professional Conduct ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Securities Violations
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, which was an active one as the SEC...more
10/12/2022
/ AT&T ,
Boeing ,
Broker-Dealer ,
Corporate Counsel ,
Enforcement Actions ,
Insider Trading ,
Investment Adviser ,
MNPI ,
Negligence ,
Personally Identifiable Information ,
Recordkeeping Requirements ,
Regulation FD ,
Securities and Exchange Commission (SEC)
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 sources....more
7/11/2022
/ Audits ,
Broker-Dealer ,
CEOs ,
CFOs ,
Charles Schwab ,
Clawbacks ,
Corporate Counsel ,
CPAs ,
Enforcement Actions ,
Ethics ,
Hidden Fees ,
Regulation BI ,
Robo-Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Whistleblower Protection Policies
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)
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
On March 27, 2019, in Lorenzo v. U.S. Securities and Exchange Commission, the U.S. Supreme Court clarified that the types of conduct that violate the three subsections of SEC Rule 10b-5 are not mutually exclusive. The court...more
4/2/2019
/ Appeals ,
Enforcement Actions ,
False Statements ,
Fines ,
Intent to Defraud ,
Investment Banks ,
Lorenzo v SEC ,
Material Dissemination ,
Misleading Statements ,
Reaffirmation ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Suspensions