SEC ACTIONS – A blog covering SEC investigations

Franklin to Integrate Wamco Amid SEC Investigation & Heavy Outflows

What would you like to follow? Zacks Equity Research. Analyst Blog ... SEC investigation into Leech's trading activities. The firm lost ...

Mid-Year Enforcement Update: SEC's Continued Focus on Private ...

We have added this order and other orders discussed in this update to our database tracking SEC enforcement actions involving private equity ...

SEC Enforcement Director Discusses Priorities, Off-Channel ...

Grewal explained that, in his view, this type of investigative strategy – bringing multiple coordinated actions at the same time against firms ...

Behind the Scenes: Analyzing SEC Enforcement Actions

Understanding the SEC Enforcement Actions 1. The Securities and Exchange Commission (SEC) plays a crucial role in maintaining the integrity ...

Whistleblower Program - SEC.gov

Once a Notice of Covered Action is posted, whistleblowers have 90 calendar days to apply for an award if they voluntarily provided the SEC with original ...

Wearing out the Watchdog: The Impact of SEC Case Backlog on the ...

Despite the importance of these investigations, in recent years, the number of SEC enforcement actions has declined significantly, which has led to questions ...

SEC Continues to Emphasize Cybersecurity Practices and ...

... (SEC) emphasis on cybersecurity underlined by several recent enforcement actions and initiatives. ... covered in our prior post mentioned above.

SEC Releases FY 2019 Enforcement Results: Increases in ...

While the total number of actions increased slightly from 2018, the percentage of cases involving investment advisers or investment companies ...

SEC Enforcement: Year in Review | Paul, Weiss

In this year-end review, we highlight important takeaways for business leaders and in-house counsel from the Division's activities in 2021, and ...

SEC's Focus on Off-Channel Communications Continues

The SEC's enforcement actions have focused on the recordkeeping ... SEC investigations."3. Critically, the SEC required all firms to ...

SEC Enforcement Sweeps: Implications for Agency and Industry

The SEC is increasingly conducting sweep investigations to address market conduct. In the past 18 months, the SEC has instituted enforcement ...

DeFi Exchange Uniswap Receives Enforcement Notice From the SEC

The blog post added that, in cases where a token may in fact be a ... CoinDesk is an award-winning media outlet that covers the cryptocurrency ...

SEC Concludes Investigation of Paxos Without an Enforcement Action

The SEC's decision to not bring an enforcement action against Paxos signals that it may consider that USD-backed stablecoins are not securities.

SEC enforcement against public companies – A recap of 2023

2023 was an active year in public company enforcement by the US Securities and Exchange Commission, with several first-of-their-kind actions.

SEC Enforcement Director Highlights Increased Penalties for ...

So this past fiscal year, and the year prior, the Commission brought a series of enforcement actions to address widespread violations.” “There ...

The SEC's Role in Cybersecurity—Rulemaking, Enforcement, and ...

... Austin Melissa Hodgman, Associate Director, SEC David Peavler, Partner, Jones Day Securities Enforcement Forum 2024 (November 6, 2024)

Can SEC staff hold the line? We're not in Kansas anymore, folks.

We'd like to think SEC staff will be able to resist any increasing politicization of the regulator, but academic research, and experience, ...

LAW FIRM PERSPECTIVES—Key takeaways... - VitalLaw.com

... covering many of the recent developments in the securities enforcement f ... SEC's investigation. 4 Exchange Act Section 13(b)(2)(B). 5 ...

Review of Recent Whistleblower Developments | Foley & Lardner LLP

... investigation, and of the SEC's and another agency's investigations. ... SEC that led to a successful enforcement action concerning an ...

Sonim Announces Closure of SEC Investigation with No ...

The SEC has concluded its investigation as to Sonim and does not intend to recommend enforcement action.