Topic
sec enforcement
252 published works
The Capital Commitment
2022 SEC Enforcement Results – Takeaways for Fund Managers
Yesterday the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2022, and there are a few key takeaways for fund managers. The Commission brought 760 total enforcement actions…
FCPA Professor
SEC Chair Gensler Is Right … Details Matter
By Mike Koehler
Recently, SEC Chair Gary Gensler delivered this speech. Citing President Franklin Delano Roosevelt who stated upon signing the first of the federal securities laws, “this law and its effective administration…
The Capital Commitment
Keeping Up With Kim Kardashian’s SEC Charges
By Joshua M. Newville, Margaret A. Dale, Hena M. Vora, Dina Noureldin
The SEC spread its reach to Hollywood this month – on October 3, 2022, the SEC announced charges against Kim Kardashian for her social media promotions of EMAX, a digital token issued…
SEC Actions
Trends in SEC Enforcement: 2Q22 Statistics and Beyond, Part IV
This is the fourth and concluding segment of a series analyzing trends in Commission enforcement actions filed during the second quarter of 2022. Part I, published on Wednesday, August 24,…
SEC Actions
Trends in SEC Enforcement: 2Q22 Statistics and Beyond, Part III
This is the third part of a four-part series analyzing trends in Commission enforcement actions filed during the second quarter of 2022. Part I, was published on Wednesday, August 24,…
SEC Actions
Trends in SEC Enforcement: 2Q22 Statistics and Beyond
I. Introduction Issues such as the never-ending pandemic continue to impact back to the office for all, including the Commission’s Enforcement Division. To date agency staff continue to work from…
Public Chatter
SEC Enforcement Affirms Aggressive Approach
By Broc Romanek
This client alert authored by Kathryn Campbell, Gina Buschatzke and Emily Craven covers what some senior SEC Enforcement officials discussed at a recent conference. The bottom line is that the…
The CLS Blue Sky Blog
SEC Enforcement Chief Speaks on Delays of Defense Counsel
Ordinarily at an event like this one, I’d speak about all the ways in which we are working to protect investors, including our increased focus on the private fund space,…
SEC Actions
SEC Enforcement: 1Q22 (Part III)
This is the concluding segment to a three-part series analyzing the enforcement actions filed during the first quarter of this year. The first segment reviewed and discussed the statistics for…
SEC Actions
SEC Enforcement: 1Q22 (Part I)
I. Introduction This is the first of two articles discussing the cases initiated by the Commission’s Enforcement Division during the first quarter of 2022. While it is always prudent to…