Eight Enforcement Trends That Likely Will End Under a Trump SEC

on December 20, 2024

A New Era of Enforcement on 10b5-1 Trading Plans: Implications of United States v. Peizer

Partners Josh Newville and Hadassa Waxman and associate Peter Angelica write about the effect of United States v. Peizer on securities law enforcement in an article published by New York Law Journal.

From New York Law Journal on December 11, 2024

2024 SEC Enforcement Results – Takeaways for Fund Managers

From The Capital Commitment on December 4, 2024

The Fate of the New U.S. Climate Change Rules Under the New Republican Administration; Certain States are Expected to Ramp Up Their Climate Change Efforts

From Regulatory & Compliance on November 18, 2024

Funds in Focus: Top SEC Exam and Enforcement Trends

on November 12, 2024

SEC Continues Enforcement Program Targeting Late Beneficial Ownership Reports

From Regulatory & Compliance on September 26, 2024

SEC Enforcement Action Underscores Need for MNPI Policies in CLO Trading

on September 6, 2024

Harris’s Running Mate Announcement: Pay-to-Play Rule Implications for Investment Advisers

From The Capital Commitment on August 6, 2024

Unrepresentative Returns: SEC Sanctions Hedge Fund Manager for Misleading Marketing Practices

on June 24, 2024

Mid-Year Enforcement Update: SEC’s Continued Focus on Private Funds in 2024

on June 14, 2024