Under the current administration, the United States Securities and Exchange Commission (SEC) has advanced significant organizational and procedural changes in its Division of Enforcement, which will impact how investigations are supervised and how defense counsel approach the Wells process.
Notable changes include the replacement of Regional Directors with Deputy Directors
Continue Reading SEC enforcement shake-up and Wells process reforms: Top points
United States District Judge Christopher Cooper has rejected a post-Jarkesy challenge to the US Securities and Exchange Commission’s (SEC) authority to impose industry bars through administrative proceedings. In Michael Sztrom and David Sztrom v. SEC, District Judge Cooper held that the Supreme Court’s 2024 decision in SEC v.
Continue Reading SEC industry bars post-Jarkesy
The Securities and Exchange Commission (SEC) has launched a Cross-Border Task Force to investigate fraud involving foreign-based companies, with a focus on market manipulation schemes like “ramp-and-dumps” and misconduct by gatekeepers – including auditors and underwriters – whose role in enabling access to US capital markets has been a focus
Continue Reading SEC launches Cross-Border Task Force to target fraud involving foreign-based companies
The US Securities and Exchange Commission (SEC) has announced the formation of a dedicated Artificial Intelligence (AI) Task Force, marking a significant step in the agency’s ongoing efforts to modernize its operations and regulatory oversight.
According to the press release, the goal of the task force is to facilitate
Continue Reading SEC establishes AI Task Force to drive internal innovation and efficiency
