| May 14 2021 |
SEC Division of Investment Management Staff Publishes Public Statement on Funds Registered Under Investment Company Act Investing in Bitcoin Futures Market |
Katten |
| Jul 10 2014 |
SEC Divisions Issue Guidance Regarding Proxy Voting |
Vedder Price |
| Dec 12 2016 |
SEC Domestic Anti-Bribery Action – No Flyovers for Violations of Internal Policies |
Holland & Hart LLP |
| Dec 4 2020 |
SEC Eases Auditor Independence Rules |
Vedder Price |
| Sep 13 2018 |
SEC Eliminates Redundant Disclosure Requirements |
Foley & Lardner LLP |
| Jul 13 2013 |
SEC Eliminates the Prohibition on General Solicitation for Rule 506 and Rule 144A Offerings |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 26 2020 |
SEC Emphasizes Anti-Fraud Protections During COVID-19 Pandemic |
Davis|Kuelthau, s.c. |
| Apr 8 2016 |
SEC Emphasizes Need for Documentation of Why Significant Deficiency is not a Material Weakness |
Morgan, Lewis & Bockius LLP |
| Aug 30 2023 |
SEC Enacts Significant Compliance Reforms for Advisers to Private Funds |
Polsinelli PC |
| Dec 22 2016 |
SEC Ends Municipalities Continuing Disclosure Cooperation Action |
Dinsmore & Shohl LLP |
| Sep 24 2015 |
SEC Enforcement Action Alleges an Adviser Failed to Adopt Adequate Cybersecurity Policies and Procedures; SEC Issues an Investor Alert on Data Theft |
Katten |
| Nov 20 2020 |
SEC Enforcement Action Cites Bank for Operating Collective Investment Funds as Unregistered Investment Companies: Key Takeaways for Banks and Advisers |
K&L Gates |
| Aug 12 2016 |
SEC Enforcement Action Clarifies Broad Scope of Anti-Gag Provision in Dodd-Frank Whistleblower Rules |
Zuckerman Law |
| Jan 23 2019 |
SEC Enforcement Action Demonstrates That Timing Is Everything |
Allen Matkins Leck Gamble Mallory & Natsis LLP |
| Aug 17 2016 |
SEC Enforcement Action Finds Confidentiality and Waiver Provisions in Severance Agreement Violate Dodd-Frank Whistleblower Protections |
ArentFox Schiff LLP |
| Nov 14 2023 |
SEC Enforcement Action for Rule 21F-17(a) Violations |
Katz Banks Kumin LLP |
| Jun 2 2016 |
SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration |
Katten |
| Sep 26 2015 |
SEC Enforcement Action Portends Rewards for Cybersecurity Whistleblowers |
Zuckerman Law |
| Jul 10 2015 |
SEC Enforcement Action Signifies the Need for Investment Advisers to Adopt Written Expense Allocation Policies |
Katten |
| Nov 22 2010 |
SEC Enforcement Action Under Regulation FD For Implicit Communications To Selected Analysts |
Sheppard, Mullin, Richter & Hampton LLP |
| Mar 26 2024 |
SEC Enforcement Action: Investors Should Pay Close Attention to Changes in Investment Intent |
Hunton Andrews Kurth |
| May 15 2020 |
SEC Enforcement Actions Against Fund Advisers Continues |
Katten |
| Nov 20 2023 |
SEC Enforcement Actions Against Public Companies and Subsidiaries Jump in FY 2023 |
Cornerstone Research |
| Aug 6 2021 |
SEC Enforcement Actions Highlight Regulatory Focus on Form CRS and Regulation Best Interest |
Katten |
| Oct 26 2015 |
SEC Enforcement Actions Up in 2015 |
Greenberg Traurig, LLP |
| Nov 16 2022 |
SEC Enforcement Activity: Public Companies and Subsidiaries - Executive Summary |
Cornerstone Research |
| Nov 18 2022 |
SEC Enforcement Activity: Public Companies and Subsidiaries: Fiscal Year 2022 Update - Key Trends |
Cornerstone Research |
| Jun 4 2018 |
SEC Enforcement Co-Director Gives Guidance for Wells Process |
Proskauer Rose LLP |
| Jun 20 2018 |
SEC Enforcement Co-Director Gives Guidance for Wells Process, Part 2 |
Proskauer Rose LLP |
| Dec 1 2022 |
SEC Enforcement Director and SDNY/EDNY Officials Address Enforcement Priorities |
Proskauer Rose LLP |
| Mar 5 2015 |
SEC Enforcement Director Discusses Issues for Pharmaceutical and Medical Technology Companies |
Mintz |
| Nov 9 2021 |
SEC Enforcement Director Rejects "Regulation by Enforcement" Criticism |
Cadwalader, Wickersham & Taft LLP |
| Sep 15 2016 |
SEC Enforcement Director Touts Success of SEC Whistleblower Program |
Zuckerman Law |
| Nov 17 2017 |
SEC Enforcement Division Issues Report on Priorities and Fiscal Year 2017 Results |
Katten |
| Jun 10 2022 |
SEC Enforcement Division to Increase Size of Crypto Assets and Cyber Unit |
Vedder Price |
| May 18 2020 |
SEC Enforcement Expanding Efforts Regarding Coronavirus Impacts |
Faegre Drinker |
| Feb 7 2017 |
SEC Enforcement Focused on Non-GAAP “Prominence” Requirement |
Hunton Andrews Kurth |
| Oct 28 2020 |
SEC Enforcement in 2020, the Election & Future of the SEC [PODCAST] |
Faegre Drinker |
| Feb 22 2016 |
SEC Enforcement Lays out Approach to Cybersecurity Cases |
Brooks, Pierce, McLendon, Humphrey & Leonard, LLP |
| Aug 11 2015 |
SEC Enforcement Moves Toward Automatic Detection of Possible Accounting Fraud |
Vedder Price |
| Oct 26 2023 |
SEC Enforcement Orders Issued for Employment & Separation Agreement Terms |
Dinsmore & Shohl LLP |
| Nov 19 2021 |
SEC Enforcement Report Touts Volume of New Actions and Increase in Penalties |
Cadwalader, Wickersham & Taft LLP |
| Nov 3 2020 |
SEC Enforcement Report Underscores the Role of Whistleblowers in Detecting Wrongdoing and Protecting Investors |
Zuckerman Law |
| Feb 15 2021 |
SEC Enforcement Restores Subpoena Power |
Faegre Drinker |
| Nov 20 2023 |
SEC Enforcement Results Highlight Record Year for Whistleblower Program |
Kohn, Kohn & Colapinto |
| Feb 14 2024 |
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Release Agreements with Retail Clients |
K&L Gates |
| Feb 13 2024 |
SEC Enforcement Targets Anti-Whistleblower Practices in Financial Firm's Settlement Agreements with Retail Clients by Imposing Highest Penalty in Standalone Enforcement Action Under Exchange Act Rule 21 F-17(a) |
K&L Gates |
| Jan 27 2021 |
SEC Enforcement Victory in its Efforts to Police Cannabis Industry Investments |
Faegre Drinker |
| Oct 23 2023 |
SEC Enforcement: Stoner Cats Settlement Signals Intensifying SEC Interest In NFT Offerings |
Barnes & Thornburg LLP |
| Sep 13 2023 |
SEC Enforcements Against NFTs – Are You Next? |
Sheppard, Mullin, Richter & Hampton LLP |
