SEC Enforcement

SEC Regulation Best Interest (Reg BI) | FINRA.org

SEC Regulation Best Interest (Reg BI). Overview Reg BI Rules Notices Enforcement Media News Releases ...

SEC Enforcement Program: Information on Productivity Statements ...

In response to a congressional request, GAO examined the Securities and Exchange Commission's (SEC) Enforcement Program to determine whether the...

Top 5 SEC Enforcement Developments for August 2024

We publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.

Securities Litigation & Enforcement | Practical Law - Westlaw

Summaries, analysis, and custom reports covering a range of class action agreements and SEC settlement agreements.

FY2024 in Review: SEC Enforcement Actions Against Investment ...

During the 2024 fiscal year, the SEC brought charges against over 60 investment advisers through enforcement sweeps and other investigations of ...

SEC Disbands its Climate and ESG Enforcement Task Force

The Securities and Exchange Commission (SEC) has reportedly recently dissolved its Climate and ESG Enforcement Task Force (the Task Force).

U.S. Supreme Court Significantly Curtails SEC Enforcement Forum ...

US Supreme Court rules in SEC v. Jarkesy that parties facing SEC enforcement actions for anti-fraud violations have a right to trial by jury ...

SEC Enforcement Sweep Shows It Takes Reporting Failures Seriously

The charges, which include failing to file required reports on Forms 13F and 13H, resulted in $3.4 million in civil penalties for nine cases; ...

Hearing Entitled: SEC Enforcement: Balancing Deterrence with Due ...

Hearing ·, Senior Affiliated Scholar at the Mercatus Center and former SEC Deputy General Counsel ·, Professor of the Practice of Law, College ...

Securities Enforcement 2024 Mid-Year Update - Gibson Dunn

The first half of 2024 reflected a dichotomy in SEC enforcement. On one hand, the Enforcement Division continued to pursue an aggressive enforcement agenda.

SEC Enforcement: 2023 Year in Review | Paul, Weiss

In fiscal year 2023, the SEC brought a total of 784 actions, including 501 new “standalone” actions, an 8% increase in the number of actions from 2022.

Securities and Commodities Enforcement | Capabilities

We advise on investigations and enforcement proceedings brought by the SEC, DOJ and other government agencies, as well as self-regulatory proceedings.

Securities Enforcement Analyzer - Wolters Kluwer

Securities Enforcement Analyzer helps you quickly identify past SEC actions that best match your current situation, better assess risks, and advise clients ...

SEC Intensifies Whistleblower Protection Enforcement

The SEC increases penalties for violations of Rule 21F-17(a), cracking down on employment agreements that restrict whistleblowing on ...

18 states want the SEC to stop enforcing crypto regulation - The Verge

These states want to halt the SEC's enforcement actions, so they can manage crypto regulation instead. Also named as a plaintiff on the suit ...

SEC Enforcement Sweep Brings Actions for Delinquent Ownership ...

Cease and desist orders forbidding the respondents from committing or causing future violations of the relevant statutory provisions were ...

18 states sue SEC, Gensler for 'regulatory overreach' on crypto

... enforcement actions against the cryptocurrency industry. The states, led by Kentucky Attorney General Russell Coleman, argue that the SEC ...

U.S. Supreme Court Deals Blow to SEC's In-House Enforcement ...

In a 6-3 decision, the U.S. Supreme Court ruled that the administrative adjudication by the Securities and Exchange Commission (SEC) of ...

Recent SEC Enforcement Actions of Note - Chapman and Cutler LLP

The SEC announced on September 24, 2024, the settlement of enforcement actions against eleven financial firms (the “Respondents”) and the imposition of more ...

DOJ & SEC Bring Enforcement Actions Against Short Sellers ...

The US Securities and Exchange Commission (SEC) and the US Department of Justice (DOJ) recently announced parallel actions against an ...