Between January and April 2026, the SEC filed 57 actions against a combined total of 112 defendants and respondents. (These figures exclude follow-on actions, bars, and suspensions.) Ther...
In his first public remarks since becoming Director of the U.S. Securities and Exchange Commission’s Division of Enforcement, David Woodcock outlined his enforcement priorities, includi...
The SEC announced its 2025 enforcement results while outlining shifts in its enforcement priorities to focus on fraud, market manipulation and individual accountability.
In his first public remarks since becoming CFTC Director of Enforcement, David Miller outlined his enforcement priorities, which are focused on serious cases implicating fraud, market man...
On March 10, 2026, the Department of Justice announced its first ever Department-wide corporate enforcement policy for all criminal cases. Under the new policy, companies that self-repor...
On February 24, 2026, the U.S. Attorney’s Office for the Southern District of New York announced a new policy to incentivize companies to self-report financial crimes. Companies could b...
Director Margaret Ryan recently gave a speech describing her “guiding principles” and enforcement priorities. She balanced the need for toughness with a focus on fraud that harms inve...
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...
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...
