News & Insights
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Client Alert March 3, 2026
Seller Beware: SEC Enforcement Action Highlights Challenges of Principal Transaction Pricing in Periods of Market Dislocation
The SEC enforcement action highlights the agency’s continuing scrutiny of valuation practices and disclosures by private fund sponsors of illiquid …
Client Alert February 25, 2026
SEC’s Division of Enforcement Updates Its Enforcement Manual for First Time Since 2017
Notable updates go beyond procedural changes previously announced by Chairman Paul Atkins and Enforcement Director Margaret Ryan. Although updates had …
Client Alert February 4, 2026
Securities Enforcement 2025 Year-End Update
The SEC’s 2025 enforcement agenda reflected sweeping changes in leadership, priorities, and personnel, yielding dismissals, process reforms, and a new …
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.