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Enforcement › Hedge Funds › Dodd-Frank Wall Street Reform and Consumer Protection Act

Broker-Dealer Compliance + Regulation

Something Old, Something New: SEC Brings Action for Prohibited Principal Transactions and Retaliation Against Whistleblower

Broker-Dealer Compliance + Regulation on

Clearly signaling its intention to support whistleblowers who provide actionable evidence of wrong-doing, the SEC this week settled the first case brought under the authority granted by the Dodd-Frank Act enabling...more

Foley & Lardner LLP

SEC's Enforcement Action Against Hedge Fund Adviser for Retaliation Against a Whistleblower Highlights Challenges Employers Face

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After repeated warnings over the last few years that it had both the authority and willingness to do so, on June 16, 2014, the SEC brought its first enforcement action for retaliation against a whistleblower under the...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions - October 30, 2013

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Non-Enforcement Matters: - No Rush to Advertise by Hedge Funds - Updated Guidance From the SEC - Results of Dodd-Frank Legislation on Investment Adviser Registration Numbers Enforcement Matters: ...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

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In This Issue: Non-Enforcement Matters: - New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program - FINRA Rule 5123 Revisited Enforcement Matters: - SEC Accuses...more

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