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 ...
2023 was an active year in public company enforcement by the U.S. Securities and Exchange Commission, with several first-of-their-kind actions. The SEC looked past traditional financial p...
After receiving board approval to buy back stock under a 10b5-1 plan, a company interpreted Rule 10b5-1 in a manner with which the SEC disagreed. The SEC did not allege that the company t...
The SEC filed an enforcement action involving a public company’s cybersecurity disclosure. The action highlights the need for executives responsible for SEC reporting to be informed pro...
The House of Representatives has passed a bill on a bipartisan basis that would be the first statute directly banning insider trading in the securities markets. The bill largely would pr...
The SEC Enforcement Division’s 2020 Annual Report focuses on COVID-related investigations while reporting fewer case filings, slightly more monetary relief ordered, and a record-breakin...
