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Securities and Exchange Commission (SEC) › Enforcement Guidance › Securities Regulation

Troutman Pepper Locke

SEC Reportedly Announces Major Reorganization of Enforcement and Exams Divisions

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The U.S. Securities and Exchange Commission (SEC) has reportedly announced internally a major reorganization of its enforcement and exams divisions. This restructuring, effective April 9, 2025, was detailed in a staff memo...more

Jones Day

The Impact of a Second Trump Presidency on SEC Enforcement Priorities

Jones Day on

A new presidential administration is likely to bring change across the federal government, perhaps nowhere more starkly than at the Securities and Exchange Commission ("SEC"), which has greatly expanded its enforcement reach...more

Littler

SEC Continues to Attack Non-Disclosure Agreements and Personnel Policy Provisions that Could Impede Employees from Reporting...

Littler on

The SEC continues to review non-disclosure agreements and other confidential business information provisions of publicly traded companies to ensure whistleblowers are not restricted from freely communicating with the agency...more

Mayer Brown Free Writings + Perspectives

SEC to No Longer Approve Settlement Offers Conditioned on Waiver of Collateral Consequences

Mayer Brown Free Writings + Perspectives on

Acting SEC Chair, Allison Herren Lee, announced in a February 11 statement that going forward, the Securities and Exchange Commission (SEC) will review offers of settlement and requests for waivers of collateral consequences...more

Hogan Lovells

SEC enforcement and litigation risks amid the COVID-19 pandemic

Hogan Lovells on

In recent weeks, the Co-Directors of the SEC's Enforcement Division warned of the "importance of maintaining market integrity" in these uncertain times. Specifically, they urged public companies to be mindful of Regulation FD...more

Polsinelli

SEC Signals Increased Investigation Activities in Light of COVID-19

Polsinelli on

While many businesses and government offices have closed or slowed as a result of the onset of COVID-19, the Securities and Exchange Commission remains open for business. On April 3, 2020, Sagar Teotia, the SEC’s Chief...more

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