SEC: Enforcement

View the process as 'a last opportunity' to shape the direction Enforcement will take

Encouragement to use the Wells Process should trouble arise, valuation issues remain hot with regulators, a High Court case worth your attention and much more

"We established the SEC’s AI Task Force in August to facilitate the development and deployment of AI across the Commission. This includes tools to conduct ...

A snapshot of the SEC's revised Enforcement Manual, proposed changes to Form N-PORT, a look at states' actions targeting private equity and much more

The manual speaks to ranking investigations, listing several factors to consider, including 'whether the matter involves misconduct by persons occupying positions of substantial authority or ...

The Commission promises to update the new manual on an annual basis. RCW will highlight the changes in this week's Weekly Briefing

A lesson in the case relates to a common defendant tactic of settling regulatory cases without admitting or denying the allegations

The clock ticks down to on SEC that has been under the Paul Atkins’ administration for nearly one year. How’s it going as it relates ...

Don’t believe it if you’ve heard that the SEC under the Trump administration has gone easy on registered private fund advisers

One unusual aspect of the case featured a former top SEC Division of Examinations official testifying for the defendant, which no doubt carried significant weight ...