Topic
sec enforcement
256 published works
Ohio Clock
The Future of SEC Enforcement Under the Biden Administration
By Kevin Edgar
With Gary Gensler confirmed as the new chairman of the Securities and Exchange Commission, the Democratic-run regulatory agency will prioritize policies that focus on investor and consumer protections. The Federal…
White Collar Law & Investigations
SEC Enforcement in 2021: A Look Ahead
By John Murray
Editors’ Note: With the advent of the Biden presidency, we invite you to join us as we examine important trends in white collar law and investigations. Our first entry takes…
Securities Litigation and Regulatory Enforcement
What Investment Advisers and Fund Managers can Expect from the SEC Under the Biden Administration
As we discussed in our recent post “What to Expect from the SEC Under the Biden Administration,” market participants can expect a more vigorous SEC enforcement program under the new…
The SEC Institute Blog
Keeping Up to Date – PLI’s inSecurities Podcast and SEC Institute Newsletter
On February 25, 2021, we released our SEC Institute Quarterly Newsletter in tandem with an episode of the inSecurities Podcast. You can listen to the podcast here and find the…
The D&O Diary
What’s Ahead at the SEC?
President Biden's nominee to head the SEC, Gary Gensler, faced a grilling today before the U.S Senate banking committee as his nomination proceeds through Congress. Although the outcome of his…
Securities Law Exchange
Public Company Forum Update: Reg. S-X Investment Test & SEC Focus under New Administration
By Scott Holley
Since the Bass, Berry & Sims Corporate & Securities Practice hosted its 2nd Annual Corporate & Securities Counsel Public Company Forum in December 2020, the Biden Administration has proposed a…
Digital Currency + Blockchain Perspectives
SEC Enforcement Updates: Interim Director Named; Staff Investigative Powers Bolstered; “Bad Boy” Waivers Less Certain
By Nick Losurdo|Karen Ubell|Jana Steenholdt
The past few weeks have ushered in signs of what’s likely to come from the SEC’s Division of Enforcement under the Biden Administration, including a greater number of investigations and…
SEC Actions
This Week In Securities Litigation (Week of Feb. 16, 2021)
The more things change, the more they sometimes seem to stay the same. Take obtaining a formal order of investigation. For much of time the Commission has been in existence…
Securities Litigation and Regulatory Enforcement
What to Expect from the SEC Under the Biden Administration
By Matthias Kleinsasser, Winstead
The dust has settled on the 2020 election, and the Biden administration has begun pressing forward with its policy objectives. Critical to achieving such objectives is the Democrats’ control of…
The Capital Commitment
President Biden’s SEC Enforcement Program: What Should Private Fund Managers Expect?
By Joshua M. Newville, Samuel J. Waldon
As President Biden continues to assemble his economic team, reports have emerged that President Biden will nominate Gary Gensler as the next Chair of the SEC. The nomination of Mr.…