Topic
sec enforcement
251 published works
Corporate Defense and Disputes
2024 SEC Enforcement Results – Takeaways for Fund Managers
By Joshua M. Newville, Robert Pommer
On November 22, 2024, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2024. For key takeaways for fund managers, read our post on Proskauer's The Capital Commitment…
The Securities Edge
Lighting a Candle
For those of us who are unhappy or worse about the outcome of the 2024 presidential election, fearing (among other things) that we are about to enter a modern incarnation…
The CLS Blue Sky Blog
SEC Whistleblower Program Marred by Too Much Secrecy, Two Commissioners Say
By Hester M. Peirce, Mark T. Uyeda
The Commission recently issued two whistleblower award determinations awarding an aggregate $122,000,000 among four claimants.[1] We did not support these determinations, but we are unable to explain our reasons because…
Data Privacy Dish
Oct. 9 EVENT | SEC Cybersecurity Enforcement Authority After SolarWinds Ruling: Mitigating Exposure to Securities Fraud Liability
Greenberg Traurig Shareholder, Jena M. Valdetero, U.S. Co-chair of the Data Privacy & Cybersecurity Group, will present the Strafford webinar, “SEC Cybersecurity Enforcement Authority After SolarWinds Ruling: Mitigating Exposure to…
The CLS Blue Sky Blog
Watching the Watchdogs: Tracking SEC Inquiries Using Geolocation Data
By William Christopher Gerken, Steven Irlbeck, Marcus Painter, Guangli Zhang
The Securities and Exchange Commission plays a crucial role as the watchdog of Wall Street by detecting financial misconduct and enforcing securities laws, but much of its investigative process has…
Compliance Building
More Whistleblower Actions
The Denver office of the Securities and Exchange Commission has rolled up a bunch more whistleblower rule violations. This follows up with last week’s settlement with Nationwide Planning for impeding…
Cleary Enforcement Watch
SEC Enforcement Updates – Post-PFAR Developments
By Robin M. Bergen, Rachel Gerwin
Last week brought Securities and Exchange Commission (“SEC”) enforcement developments that, in our view, demonstrate the SEC’s interest in pursuing cases against investment advisers for conduct that would have been…
The CLS Blue Sky Blog
Wachtell Lipton Offers Summer Takeaways in SEC Enforcement
By John F. Savarese, Wayne M. Carlin, David B. Anders
With the Labor Day holiday now behind us, it is a good time to review the SEC’s active enforcement docket and to look ahead to likely areas of continuing enforcement…
The CLS Blue Sky Blog
Morrison & Foerster Discusses Top Five SEC Enforcement Developments for July 2024
By Nicole K. Serfoss, Michael D. Birnbaum, Haimavathi V. Marlier, Craig D. Martin, Mamie Tabet
1. SDNY Judge Holds SEC Failed to Adequately Plead Risk Disclosure and Controls Claims in SolarWinds On July 18, 2024, the United States District Court for the Southern District of…
Inside Political Law
SEC Enforcement Order Highlights Far Reach of Pay-to-Play Restrictions
By Zachary G. Parks, Samuel Klein
The Securities and Exchange Commission (SEC) this week issued a cease-and-desist order that demonstrates the SEC pay-to-play rule’s expansiveness and the SEC’s readiness to enforce it to the letter, even when it…