Democrats Ask SEC to Explain Lack of Enforcement on Trump-Linked Crypto Entities

Given the industry’s history of investor-harm... this turn raises troubling questions about the SEC’s priorities and ...

SEC Chair Atkins Wants Quality Over Quantity as Agency Enforcement Slows

If we reward the staff only for bringing enforcement actions, then we have discouraged the staff from determining not to ...

SEC's Revolving Door Spinning With Big Law

Partners at Blank Rome and Jones Day have taken leadership positions at the SEC's enforcement division, while several agency ...
JD Supra

SEC Fraud and Violations: Whistleblower Enforcement and Legal Protections

Since the Dodd–Frank Act of 2010, the SEC has fundamentally reshaped how securities fraud and corporate misconduct are detected and addressed. Through its Office of the Whistleblower (OWB), the ...
JD Supra

SEC Settles Enforcement Proceedings Against Adviser for Alleged Whistleblower Protection Rule Violations

On September 26, 2024, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for various alleged violations of Rule 21F-17(a) under the ...
The National Law Review

SEC Enforcement Action – Failure to File Forms D

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
The National Law Review

SEC Enforcement Director Highlights Increased Penalties for Violations of Whistleblower Rule

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
InvestmentNews

JPMorgan to pay $151M in SEC enforcement blitz

Two JPMorgan Chase affiliates have agreed to pay a combined $151 million in civil penalties and investor payments to resolve multiple enforcement actions by the Securities and Exchange Commission, the ...