The SEC (U.S. Securities and Exchange Commission) recently hosted the 2024 SEC Speaks conference in Washington, DC. During the event, SEC leaders, including the Chair, commissioners, and senior staffers, shared their views...more
4/18/2024
/ Cooperation ,
Disgorgement ,
Electronic Communications ,
Enforcement ,
Enforcement Actions ,
Enforcement Statistics ,
Personal Liability ,
Recordkeeping Requirements ,
Regular Business Communications ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblowers
On May 30, 2023, the Securities and Exchange Commission (SEC) announced the third settlement of an enforcement action alleging violations of the Investment Advisers Act of 1940 (the Advisers Act) with respect to activities...more
Private funds can draw lessons about how to prioritize their compliance efforts and practices in response to a series of warnings by newly-appointed federal regulators of increased scrutiny, regulation, and enforcement...more
4/8/2022
/ Conflicts of Interest ,
Disclosure Requirements ,
Enforcement Actions ,
Enforcement Priorities ,
False Statements ,
Form PF ,
Government Investigations ,
Hedge Funds ,
Misleading Statements ,
Private Equity Funds ,
Private Funds ,
Proposed Amendments ,
Proposed Rules ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Valuation ,
Venture Capital
In one of its last opinions to be released this Term, the United States Supreme Court issued a decision on June 22, 2020 in Liu v. Securities and Exchange Commission, a case about whether and to what extent disgorgement is an...more
6/25/2020
/ 15 U.S.C. § 78u(d)(5) ,
Administrative Authority ,
Business Expenses ,
Calculation of Damages ,
Corporate Misconduct ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Kokesh v SEC ,
Lack of Authority ,
Liu v Securities and Exchange Commission ,
Net Profits ,
Remedies ,
SCOTUS ,
Securities and Exchange Commission (SEC)
On March 3, 2020, the U.S. Supreme Court heard argument in Liu v. Securities and Exchange Commission, a case about whether disgorgement is an available remedy in SEC enforcement actions filed in federal court under a...more
3/4/2020
/ Administrative Authority ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Kokesh v SEC ,
Lack of Authority ,
Liu v Securities and Exchange Commission ,
Penalties ,
Regulatory Agencies ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Split of Authority ,
Statute of Limitations
Earlier today, Deputy Attorney General Rod J. Rosenstein announced that the President issued an executive order establishing a new Task Force on Market Integrity and Consumer Fraud, comprised of a number of divisions of the...more