Topic
sec enforcement
251 published works
The Securities Law Blog
SEC Announces Departure of OIEA Director Lori J. Schock
The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire…
Compliance Building
The SEC Is Back
After 43 days of being forced out of the office, the Securities and Exchange Commission has re-engaged its motor and is taking action. I found something in my inbox this…
The CLS Blue Sky Blog
Morrison & Foerster Discusses Top 5 SEC Enforcement Developments for July 2025
By Nicole K. Serfoss, Michael D. Birnbaum, Haimavathi V. Marlier, Craig D. Martin, Elizabeth Weil Shaw
This month, we examine the following most important SEC enforcement developments: An SEC complaint alleging a Georgia company and its owner operated a $140 million offering fraud and Ponzi scheme;…
Eye on Enforcement
SEC Enforcement in the Second Quarter of 2025
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,…
The D&O Diary
What About AI-Related Enforcement Under the Trump Administration?
Among the many executive orders launched at the outset of the current Trump administration was the January 23, 2025 Executive Order that declared the administration’s commitment to maintaining the U.S.…
Eye on Enforcement
SEC Enforcement Leadership Discusses New Priorities and Expectations
Yesterday, as part of the annual “SEC Speaks” program, the leadership of the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement publicly discussed the enforcement priorities under new Chairman…
Consumer Financial Services Law Monitor
Navigating 2025: The SEC’s Evolving Role in Cryptocurrency Enforcement
By Ethan G. Ostroff, Joanna Cline, Jay Dubow
In this episode of Crypto Exchange, Ethan Ostroff and Alexandra Barrage are joined by partners Joanna Cline and Jay Dubow to discuss the evolving landscape of the SEC's enforcement actions…
The D&O Diary
Sounding the Alarm on the SEC’s New Crypto Approach
It was no secret that the crypto enforcement approach was going to change under the Trump administration. Indeed, one of Trump’s first acts upon returning to the White House in…
Sidley Austin Blog
Action Items for U.S. Public Companies for 2025
By Sonia Gupta Barros, Beth E. Berg, Paul L. Choi, Samir A. Gandhi, John P. Kelsh, Claire H. Holland
Rapid rulemaking and aggressive enforcement by the SEC, combined with legislative, judicial, and regulatory developments, have created new requirements and expectations for U.S. public companies. The post Action Items for…
Knovos Blog
A Checklist to the SEC’s Updated Production Requirements
In fiscal year 2024, the SEC filed 583 enforcement actions. The financial remedy was $8.2 billion, the highest in the SEC’s history. The number shows the SEC’s efforts to enforce…