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4372 Results Found

Client Alert September 22, 2026

Back to Basics, But Not Business as Usual: Earlier Testimony, Faster Subpoena Enforcement, and a Shorter Escalation Ladder at the SEC Division of Enforcement

The operative theme across two speeches by the SEC’s Director of Enforcement is visibility: fewer, more consequential cases, brought and …

Client Alert August 5, 2026

SEC Enforcement Division Launches Financial Reporting and Accounting Unit

Unit will focus resources on investigation of suspected accounting and financial reporting fraud and other related misconduct in accounting and …

Client Alert August 4, 2026

Securities Enforcement 2026 Mid-Year Update

The first half of 2026 brought the second change of Enforcement leadership in under a year, the first comprehensive overhaul …

Client Alert May 21, 2026

Undeniably Deniable: SEC Rescinds Policy on Denials of Enforcement Settlements

The SEC’s rescission of its longstanding “no-deny” policy could have profound implications for how parties approach settlement strategy and manage …

Client Alert February 27, 2026

The CFTC Advises Prediction Market Users: Insider Information Is Not Fair Game

The CFTC re-affirms its intent to police insider trading on registered prediction markets. With prediction markets rapidly growing, the Commodity …

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 January 20, 2026

New York Attorney General Brings Unusual Insider Trading Action Relating to CEO’s Stock Sales Pursuant to Rule 10b5-1 Plan

This case could potentially be a harbinger of expanded efforts by the NYAG and other state attorneys general to pursue insider trading and other securities fraud cases as the current Administration’s enforcement priorities change.