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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 September 9, 2026
SEC Proposes to Repeal Investment Adviser Pay-to-Play Rule — But Political Contribution Compliance Is Here to Stay
The Release sets forth a framework for the basic elements that the SEC would expect to see in an investment …
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 June 4, 2026
Supreme Court Holds That Courts May Order Disgorgement Without The SEC Proving Pecuniary Loss To Investors
Sripetch v. Securities and Exchange Commission, No. 25-466 – Decided June 4, 2026 Today, the Supreme Court unanimously held that the …
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 May 11, 2026
Regulatory Compliance Reminders for Investment Advisers
Three key issues for investment advisers in the coming months: the Regulation S-P compliance deadline, new qualified client thresholds, and …
Webcasts March 31, 2026
Webcast: Capital Markets: PIPE Transactions
Join us for a presentation designed to equip investors and companies with an in-depth analysis of private investment in public …