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
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
Given the recent news about President-Elect Trump’s cabinet appointments , it is a safe bet that the SEC Division of Enforcement’s priorities will change under the new administration. Under President Biden, SEC Chair Gary...more
11/15/2024
/ Artificial Intelligence ,
Board of Governors ,
Corner Post Inc v Board of Governors of the Federal Reserve System ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Insider Trading ,
Loper Bright Enterprises v Raimondo ,
Securities and Exchange Commission (SEC) ,
Share Buybacks ,
Trump Administration
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 Supreme Court’s Jarkesy decision and its impact on the...more
7/16/2024
/ Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Corporate Counsel ,
Dodd-Frank ,
Glass Lewis ,
Insider Trading ,
Institutional Shareholder Services (ISS) ,
Investment Advisers Act of 1940 ,
Proxy Advisory Firms ,
Rule 10b-5 ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Tokens ,
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 permanent suspension of an audit firm and its owner for...more
6/28/2024
/ CEOs ,
Corporate Counsel ,
Cyber Incident Reporting ,
Fraud ,
Insider Trading ,
Loans ,
PCAOB ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Stock Prices ,
Taxable Income
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 first “Shadow Trading” trial;
•SCOTUS’s...more
5/21/2024
/ Books & Records ,
Breach of Duty ,
Climate Change ,
Compliance ,
Corporate Counsel ,
Cryptocurrency ,
Data Privacy ,
Insider Trading ,
Investment Advisers Act of 1940 ,
Macquarie Infrastructure Corp v Moab Partners LP ,
Marketing ,
Misappropriation ,
Non-Public Information ,
Omissions ,
Regulation S-K ,
Reporting Requirements ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Stays
For the first time, a Regulation Fair Disclosure (Reg FD) case may be headed to trial. On September 8, 2022, the Federal District Court for the Southern District of New York denied cross-motions for summary judgment in a case...more