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natlawreview.com /1 month ago

SEC Fraud and Violations: Whistleblower Enforcement and Legal Protections

I. Introduction: The Expanding Reach of SEC Whistleblower Law Since the Dodd–Frank Act of 2010, the SEC has fundamentally reshaped how securities fraud and corporate misconduct are...

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natlawreview.com /3 weeks ago

SEC Announces Trio of Settlements in Beneficial Ownership Cases

On May 4, 2026, the U.S. Securities and Exchange Commission (SEC) announced three settlements involving alleged violations of the beneficial ownership reporting requirements under...

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wealthprofessional.ca /2 weeks ago

SEC corporate enforcement hits multi-decade low as agency refocuses on fraud

Just five actions were started in the first half of fiscal 2026, a new analysis finds

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natlawreview.com /1 month ago

From Enforcement to Empowerment: SEC’s Inaugural Podcast Signals Continued Course Correction on Crypto

On April 16, 2026, the Securities and Exchange Commission (SEC) debuted its podcast, Material Matters, with Chairman Paul S. Atkins hosting Commissioners Mark T. Uyeda and Hester M...

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natlawreview.com /1 week ago

United States: Keeping up Tradition: Director Woodcock’s Signals a Continuation of Recent Enforcement Priorities

One week into the role, new Securities Exchange Commission (SEC) Enforcement Director David Woodcock used his first public remarks to reinforce the enforcement tone set by Chairman...

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crypto.news /1 month ago

SEC says some of its past crypto enforcement cases misinterpreted securities laws

The U.S. Securities and Exchange Commission has recently said that several past enforcement actions against crypto firms failed to deliver investor benefits and misinterpreted secu...

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natlawreview.com /3 weeks ago

Key Takeaways from the SEC Division of Enforcement’s FY2025 Results

On April 7, 2026, the U.S. Securities and Exchange Commission’s (SEC or the Commission) Division of Enforcement released its results for fiscal year 2025 (October 2024 through Sept...

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natlawreview.com /1 month ago

Fewer Actions, Sharper Focus- SEC Enforcement Declines in Fiscal Year 2025 as Priorities Shift

The Securities and Exchange Commission’s (SEC or Commission) recently released enforcement results for the 2025 fiscal year (Results) reflect the SEC Division of Enforcement’s (Div...

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jdsupra.com /1 week ago

Key Tronic Case Shows SEC Isn't Ignoring Controls Violations

On April 20, the U.S. Securities and Exchange Commission announced settled charges against a public company — Key Tronic Corp. — for books and records and internal controls violati...

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natlawreview.com /1 month ago

Overview of US Consumer Privacy Law Landscape State by State

What Happened The SEC’s Division of Corporation Finance issued two new Corporation Finance Interpretations (CFIs) on March 23, 2026, clarifying the rules relating to the waiting pe...

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jdsupra.com /3 weeks ago

SEC Gives Enforcement Manual an Overdue Physical

We recently reported that SEC Chairman Paul Atkins had prescribed new procedures for the agency’s Wells submission process: i.e., more time for and more transparency to potential d...

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wealthmanagement.com /1 week ago

SEC Public Company Enforcement Remains Low in FY 2026’s First Half

The agency brought just five cases against public companies and subsidiaries, up from three in the second half of the last fiscal year but down sharply from 53 in the first half of...

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wealthprofessional.ca /1 month ago

SEC enforcement haul hits $17.9B as agency sharpens focus on retail investor protection

Record tips and whistleblower payouts highlight SEC’s intensified enforcement push

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financial-planning.com /2 weeks ago

Private credit, retail fraud top SEC's enforcement priority list

The number of SEC enforcement actions have dropped during the second Trump administration. But the new head of the division said he supports "quality over quantity."

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jdsupra.com /1 week ago

SEC Signals End of “No‑Admit/No‑Deny” Gag Rule: What It Means for Enforcement Strategy

Overview The Securities and Exchange Commission (SEC) appears poised to make a significant change to its enforcement program that could reshape how settlements are negotiated and c...

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natlawreview.com /1 week ago

SEC Approves Nasdaq’s $25 Million IPO Requirement for China-Based Companies

On May 14, 2026, the U.S. Securities and Exchange Commission approved Nasdaq’s proposed rule change to its initial listing standards, which will require companies primarily operati...

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business.inquirer.net /2 weeks ago

SEC launches digital reference for regulations

MANILA, Philippines – The Securities and Exchange Commission (SEC) has launched a consolidated digital reference for the country’s securities regulations. It wants to make complian...

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accountingtoday.com /1 week ago

SEC nixes 'gag rule' on enforcement action settlements

The Securities and Exchange Commission rescinded a policy Monday requiring defendants in settled enforcement actions not to publicly deny the SEC's allegations.

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wealthmanagement.com /1 month ago

SEC Faces Scrutiny Over Enforcement Chief's Resignation

Democratic lawmakers want answers from SEC Chair Paul Atkins amid news reports that Judge Margaret Ryan clashed with agency leadership over cases involving associates of President...

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jdsupra.com /1 month ago

SEC Enforcement Speaks in 2026: Enforcement Division Moves “Full Steam Ahead” with Focus on Quality over Quantity, Proce...

At the 2026 SEC Speaks Conference held in Washington, D.C., Acting Enforcement Director Sam Waldon declared that the Commission’s Enforcement Division is moving “full steam ahead”...

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bworldonline.com /1 month ago

SEC orders catering firm to stop alleged investment solicitation

THE SECURITIES and Exchange Commission (SEC) has issued a cease-and-desist order (CDO) against Melot’s Catering Services, its point person, and its agents for the alleged unauthori...

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financial-planning.com /2 weeks ago

SEC's Atkins critical of off-channel communications enforcement

The SEC is now focused on "quality of cases versus quantity," the SEC chairman said during a discussion held as part of the 2026 FINRA Annual Conference.

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natlawreview.com /3 weeks ago

FINRA Enhancing Enforcement

On March 2, 2026, the Financial Industry Regulatory Authority (FINRA) announced a series of enhancements to its enforcement program as part of its broader “FINRA Forward” initiativ...

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jdsupra.com /3 weeks ago

SEC Announces Trio of Settlements in Beneficial Ownership Cases

On May 4, 2026, the U.S. Securities and Exchange Commission (SEC) announced three settlements involving alleged violations of the beneficial ownership reporting requirements under...

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