| 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 |
| Nov 4 2020 |
SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways |
Proskauer Rose LLP |
| Nov 28 2018 |
SEC Enforcement’s Annual Report Prioritizes Retail Investors, Cryptocurrency, Cybercrime, and Individual Accountability |
Sheppard, Mullin, Richter & Hampton LLP |
| Oct 2 2020 |
SEC Enforcement’s First Public Company Cases Resulting from its EPS Initiative |
Faegre Drinker |
| Nov 12 2019 |
SEC Enforcers Continue to Focus on Undisclosed Fees |
Proskauer Rose LLP |
| Apr 17 2020 |
SEC Enhances Standards for Critical Market Infrastructure |
Katten |
| Oct 2 2015 |
SEC Equity Market Structure Advisory Committee |
Squire Patton Boggs (US) LLP |
| Apr 26 2022 |
SEC ESG Changes: What Companies Can Do To Prepare |
CMBG3 Law |
| Mar 16 2022 |
SEC ESG Decision Set For March 21 |
CMBG3 Law |
| May 6 2022 |
SEC ESG Task Force Charges First Company For ESG Fraud |
CMBG3 Law |
| Jan 20 2022 |
SEC Evaluates Changes to Its Investor Counting Rules Potentially Forcing Large Private Companies into the Public Reporting Regime |
K&L Gates |
| Mar 5 2021 |
SEC Exam Priorities for 2021 – Focus on Seniors, Reg. BI and Climate Risk (ESG) |
Mintz |
| Mar 11 2021 |
SEC Exam Priorities for 2021: What You Need to Know |
Epstein Becker & Green, P.C. |
| Nov 19 2015 |
SEC Exam Staff Shares Observations on Outsourced Chief Compliance Officers |
Morgan, Lewis & Bockius LLP |
| Feb 4 2015 |
SEC Examination Priorities for 2015 |
Faegre Drinker |
| Jan 16 2015 |
SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other Illegal Activity |
Proskauer Rose LLP |
| Jan 20 2015 |
SEC Examination Priorities; In Life as in Literature; Unregistered CTA Sanctioned: Bridging the Week January 12 to 16 and 19, 2015 [VIDEO] |
Katten |
| Mar 5 2021 |
SEC Examination Risk Alert Signals Focus on Digital Asset Securities |
Foley & Lardner LLP |
| Feb 16 2023 |
SEC Examinations in 2023 to Focus on “Riskier Private Funds” and New Marketing Rule |
Proskauer Rose LLP |
| Mar 1 2017 |
SEC Examinations of RIAs and Broker-Dealers under the ReTIRE Initiative: Interesting Angles on the DOL’s Fiduciary Rule #38 |
Faegre Drinker |
| Jul 25 2016 |
SEC Examiners Focused on Fund Share Class Conflicts of Interest |
Morgan, Lewis & Bockius LLP |
| Feb 7 2020 |
SEC Examiners Release Cyber Observations: What You Need To Know |
Bracewell LLP |
| Nov 2 2023 |
SEC Exempts Brokers and Dealers from Rule 15c2-11 Review and Recordkeeping Requirements for Quotations on 144A Fixed Income Securities |
Cadwalader, Wickersham & Taft LLP |
| May 7 2012 |
SEC Exempts “Dribble Out” Programs and Certain Secondary Sales from Large Trader Reporting Rule |
Hunton Andrews Kurth |
| Feb 28 2024 |
SEC Expands "Dealer" Definition to Capture Liquidity Providers |
K&L Gates |
| Sep 22 2020 |
SEC Expands Access to the Private Markets Through Expansion of Accredited Investor Definition in New Rule |
Wiggin and Dana LLP |
| Sep 8 2020 |
SEC Expands Accredited Investor Definition |
Steptoe & Johnson PLLC |
| May 4 2022 |
SEC Expands and Renames Cyber Unit to “Crypto Assets and Cyber Unit” |
Winstead |
| Feb 28 2024 |
SEC Expands Dealer Registration Requirements |
Greenberg Traurig, LLP |
| Sep 3 2020 |
SEC Expands Definition of Accredited Investor |
Womble Bond Dickinson (US) LLP |
| Feb 7 2024 |
SEC Expands Definition of Dealers and Government Securities Dealers |
K&L Gates |
| Aug 28 2020 |
SEC Expands Definitions of Accredited Investor and Qualified Institutional Buyer |
ArentFox Schiff LLP |
| Oct 25 2018 |
SEC Expands Emphasis on Cybersecurity with Cyber Fraud Report |
McDermott Will & Emery |
| Nov 18 2019 |
SEC Expands Jurisdiction to Sanctions Violations |
Squire Patton Boggs (US) LLP |
| Jul 7 2017 |
SEC Expands Nonpublic Review of Draft Registration Statements |
Katten |
| Aug 25 2017 |
SEC Expands Nonpublic Review of Draft Registration Statements: August 25, 2017 |
Katten |
| Feb 22 2024 |
SEC Expands Regulatory Oversight of Private Fund Advisers - Amendments to Form PF |
ArentFox Schiff LLP |
| Sep 2 2020 |
SEC Expands the Definition of Accredited Investor |
Godfrey & Kahn S.C. |
| Jul 12 2018 |
SEC Expands the Definition of “Smaller Reporting Company” |
Sheppard, Mullin, Richter & Hampton LLP |
| Sep 9 2020 |
SEC Expands the “Accredited Investor” and “QIB” Definitions and the Permitted Scope of “Testing the Waters” |
Proskauer Rose LLP |
| Jul 10 2017 |
SEC Expands Use of Confidential Submissions of Draft Registration Statements |
Foley & Lardner LLP |
| Aug 31 2020 |
SEC Expands “Accredited Investor” and “Qualified Institutional Buyer” Definitions |
Mintz |
| Feb 14 2024 |
SEC Expands “Dealer” Definition |
Hunton Andrews Kurth |
| Oct 23 2019 |
SEC Expands “Testing-the-Waters” Accommodation to All Issuers, Regardless of EGC Status |
Jones Walker LLP |
| Feb 26 2024 |
SEC Expected to Drop Scope 3 GHG Emissions Disclosure Requirements From Final Climate Rule |
Mintz |
| Dec 8 2023 |
SEC Expected to Vote on Proposed Climate Disclosures by April 2024 |
Mintz |
| May 26 2015 |
SEC Explains Rationale in Forum Selection in Contested Cases |
Barnes & Thornburg LLP |
