Search

Enforcement was in the air this Valentine's Day for the New York and Fort Worth Regional offices of the SEC, who on Feb. 14, 2023, announced charges against Christopher S. [...]

Enforcement was in the air this Valentine's Day for the New York and Forth Worth Regional offices of the SEC, who on Feb. 14, 2023, announced charges against Christopher S. [...]

The SEC was once again before the U.S. Court of Appeals for the Fifth Circuit1 on Aug. 29, 2022, this time in connection with the agency's approval of the Nasdaq [...]

The SEC recently announced the filing of a settled action against Bernard L. Compton, a former Domino's Pizza executive accused of insider trading. The case, though somewhat typical in its [...]

Continuing its focus on crypto enforcement, the SEC on May 3, 2022, announced the addition of 20 positions to its relaunched Crypto Assets and Cyber Unit - formerly the Cyber [...]

Holland & Knight Partner and former SEC Enforcement Assistant Director Scott Mascianica sat down on March 28, 2022, with Eric Werner, Associate Regional Director for Enforcement in the SEC's Fort [...]

Section 929X of the Dodd-Frank Act requires the SEC to implement a regulatory framework around the public disclosure of short sale information. On Feb. 25, 2022, the SEC unanimously approved [...]

The SEC's Division of Enforcement continues to focus on registrants' compliance with Form CRS, a byproduct of the agency's rulemakings 'designed to enhance the quality and transparency of retail investors' [...]

'Record breaking' is how the U.S. Securities and Exchange Commission (SEC) described its whistleblower program results in FY 2021, and it's not hard to see why. The agency continued to [...]

We continue our year-end review of SEC enforcement activity and turn our attention to a topic grabbing seemingly daily headlines across multiple industries: cybersecurity. As the risks - and realities [...]

We interrupt our regularly scheduled FY 2021 U.S. Securities and Exchange Commission (SEC) Enforcement overview to address a recent discovery opinion in the closely followed SEC v. Ripple Labs, Inc., [...]

Highlights The U.S. Securities and Exchange Commission's (SEC) Division of Enforcement (Division) published its Annual Report for Fiscal Year 2021 on Nov. 18, 2021. The Annual Report - the first [...]

The U.S. Court of Appeals for the Fifth Circuit on Oct. 12, 2021, became the first federal appellate court to decide whether a disgorgement award entered against defendants in an [...]