The New York State Attorney General filed civil actions against a former executive for insider trading and against his company for approving the trading plan that the executive used. Thes...
With new leadership at the SEC, companies have had to grapple less with disclosure mandates and more with macroeconomic and geopolitical headwinds. We address related disclosure implicati...
In September 2025, the SEC filed 20 actions against a combined total of 35 defendants and respondents, and the CFTC filed eight actions against a combined total of 13 defendants and respo...
Changes to the SEC’s specialized crypto enforcement unit signal a reduced focus on non-fraud crypto cases and increased prioritization of traditional cybersecurity issues, use of emergi...
Companies continue to have their hands full addressing new disclosure mandates against the backdrop of an active SEC enforcement agenda. We address related disclosure implications and oth...
The SEC announced settled enforcement actions against several victims of the SolarWinds hack, alleging that they downplayed the extent to which they were impacted by the intrusions. The a...
The SEC announced the settlement of enforcement actions against seven companies, stemming from the use of employment and related agreements that allegedly violated Dodd-Frank whistleblowe...
A court rendered a mixed result in the SEC’s SolarWinds litigation. The court declined to dismiss the SEC’s claims that a website “Security Statement” overstated the strength of S...
In SEC v. Jarkesy, the Supreme Court held that the SEC must bring fraud claims seeking penalties in federal court instead of administrative proceedings because defendants are entitled to ...
The SEC expanded the scope of the Safeguards Rule, which already required broker-dealers, investment advisers and investment companies to have reasonably designed policies and procedures ...
