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...
Between October and December 2025, the SEC filed 29 actions against a combined total of 54 defendants and respondents, and the CFTC filed one case against three defendants. (These figures...
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...
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...
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 ...
