From Vegas to Venezuela: High-Stakes Predictive Markets — Regulatory Oversight Podcast
10 For 10: Top Compliance Stories For the Week Ending, November 1, 2025
Daily Compliance News: October 29, 2025, The CEO No-No Edition
Daily Compliance News: August 1, 2025, The All AI Edition
10 For 10: Top Compliance Stories For the Week Ending, August 2, 2025
Daily Compliance News: July 31, 2025. The Forgotten Generation Edition
Daily Compliance News: June 20, 2025, The Death of the Business Card Edition
PLI's inSecurities Podcast - Opening the Securities Enforcement Answer Book
PLI's inSecurities Podcast: A View From the Inside
Compliance Perspectives: Compliance Challenges in India
Nota Bene Episode 83: Fraud Enforcement and Policing COVID Relief: What Businesses Need to Know with Chuck Kreindler
COVID-19 Videocast Series – Episode 2: Conversations from Our Public Tech Company Virtual Situation Room
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks
WORD OF THE DAY® – Big Boy Letter
The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)
The Insider Trading Cartoon Series, Vol. 13 -- The Barry Switzer Story
The Insider Trading Cartoon Series, Vol. 14 -- United States v. Newman (Part 1)
The Insider Trading Cartoon Series, Vol. XII -- The Innocent Intermediary
The Insider Trading Cartoon Series, Vol. XI -- Multi-level Tipping
This is the third in our 2026 Year in Preview series examining important trends in white collar law and investigations in the coming year. 2025 saw fundamental shifts in securities enforcement priorities in the first year of...more
In the early 2000s, then–New York Attorney General Eliot Spitzer earned the moniker “Sheriff of Wall Street” through an aggressive enforcement campaign targeting some of the financial industry’s most powerful institutions. ...more
On January 15, 2026, the Attorney General of the State of New York (NY A.G.) filed suit against Roger G. Kramer, the former CEO of Emergent BioSolutions, Inc., accusing him of insider trading for selling his shares in the...more
Over the last several months, there have been a number of reports about a perceived drop-off in enforcement activity by the U.S. Securities and Exchange Commission, including in the area of insider trading....more
On January 15, 2026, the New York Attorney General (“NYAG”) filed a complaint against a former life-sciences manufacturing CEO alleging violations of New York’s Martin Act for trading material nonpublic information related to...more
In case there was any doubt, insider trading enforcement—including DOJ criminal and SEC civil charges—remains a priority to kick off the new year. Last week, the U.S. Attorney’s Office for the District of Massachusetts...more
Aerospace and Defense Contractor Resolves False Claims Act Allegations for $1.5 Million - On January 5, the US Department of Justice (DOJ) announced that Teledyne RISI Inc., also known as Teledyne Electronic Safety Products,...more
When Paul Atkins became the new chairman of the Securities and Exchange Commission (SEC) in April 2025, the market expected enforcement actions against public companies to decrease....more
Securities Snapshot highlights notable developments in securities law, covering litigation and enforcement matters, legislation, and regulatory guidance. It is curated by lawyers in Goodwin’s Securities Litigation & SEC...more
Despite the continued absence of SEC staff amid the government shutdown, the Securities Enforcement Forum in Washington, D.C. (the Forum) went forward on October 30, 2025. Panelists from the industry provided a candid look at...more
Additionally, on September 26, 2025, SEC Chair Paul S. Atkins announced that the Commission will once again simultaneously evaluate settlement offers in SEC enforcement actions and requests for SEC waivers from automatic...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from September 2025. ...more
Insider trading cases may have become harder to prosecute. On July 31, 2025, the Second Circuit released its opinion in United States v. Chastain, an insider trading case in which the defendant had been convicted by a jury...more
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: • Recent SEC activity pursuing alleged fraud in the...more
Earlier this month, the U.S. Court of Appeals for the Second Circuit, arguably the most influential court in the country for federal securities law matters, issued an important decision regarding the scope of insider trading...more
On September 16, 2025, the United States Court of Appeals for the Second Circuit affirmed the dismissal of seven coordinated putative class actions asserting insider trading claims under the Securities Exchange Act of 1934...more
With last year’s change in administration, the appointment of Securities and Exchange Commission (SEC or the “Agency” or “Commission”) Chairman Paul Atkins, and Judge Ryan being named as enforcement director, there is much...more
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 following matters: • An SEC complaint alleging a Georgia...more
Paul Atkins was sworn in as SEC (Securities and Exchange Commission) Chairman on April 21, 2025. In a staff town hall meeting on May 6, 2025 he articulated a statement of purpose for the Enforcement program: “Investor...more
Public companies regularly face challenges in protecting confidential information relating to material announcements of corporate developments as well as financial results and other events. For example, recently, the U.S....more
In May 2025, we summarized the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement activity during the first quarter of the new presidential administration. With the second quarter now concluded, and Paul...more
Executive Sentenced to 42 Months in Prison - Company insiders rely upon Rule 10b5-1 trading plans to sell stock pursuant to predetermined trades, allowing them to later trade securities even though they may be in...more
On June 23, the U.S. Department of Justice announced that Terren Scott Peizer, founder of Ontrak Inc., a Miami-based publicly traded health care company, has been sentenced to three and one half years in prison by a...more
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
The U.S. Securities and Exchange Commission held its annual SEC Speaks conference on May 19 and 20, 2025, in Washington, D.C. On the second day of the conference, the Staff of the Division of Enforcement hosted two panel...more