News & Insights
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Client Alert March 2, 2026
SDNY Announces New Corporate Self-Reporting Program for Certain Financial Crimes
New SDNY program provides a clear pathway for declinations where corporations decide to self-report certain financial crimes, with key differences …
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.
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.