News & Insights
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Explore our comprehensive collection of news and in-depth insights spanning practice areas, industries, and regions.
Client Alert September 15, 2025
NASAA Updates Non-Traded REIT Guidelines
The changes become effective January 1, 2026 and seek to enhance protections for retail investors in the non-traded real estate investment trust market.
Client Alert September 9, 2025
State Securities Regulators Announce New Initiative to Increase Enforcement Investigations of Broker-Dealers
Gibson Dunn will monitor closely the new NASAA Broker-Dealer Inspections & Compliance (BDIC) initiative as it undertakes its “ambitious agenda” beginning with several new multi-state investigations.
Client Alert July 28, 2025
Securities Enforcement 2025 Mid-Year Update
Our lawyers provide their mid-year securities enforcement update.
Accolades February 27, 2025
Top Verdicts of 2024: Anderson v. Edward D. Jones & Co.
Last September, Gibson Dunn & Crutcher attorneys successfully defended financial services firm Edward D. Jones & Co., L.P.
Client Alert January 30, 2025
Securities Enforcement 2024 Year-End Update
Expect sweeping changes ahead. But when looking back, an aggressive enforcement agenda continued as the SEC reported record high financial remedies, although—like all numbers that high—the SEC’s enforcement measures in 2024 require context and came alongside a drop in new actions.
Webcasts December 19, 2024
Webcast: Expect Sweeping Changes to the SEC Next Year: An Insider’s Preview
Join us for an insider view of what to expect at the SEC in the new administration. During this 60-minute webcast we discuss our expectations for the regulatory agenda of the U.S. Securities and Exchange Commission in 2025 and beyond. This will impact all public companies, funds, and financial market participants.
Client Alert August 22, 2024
Securities Enforcement 2024 Mid-Year Update
Our lawyers provide their mid-year securities enforcement update.
Client Alert June 7, 2024
Recent SEC Enforcement Action Potential Harbinger of More Regulation Best Interest Enforcement Against Broker-Dealers
There has been a dearth of Commission enforcement actions relating to Reg BI since the rule became effective in June 2020. This action for ordinary conflict of interest concerns, and another from February, may signal a more active Reg BI enforcement regime moving forward.