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