SEC: Enforcement

Enforcement Division relying on 'overly broad interpretation,' groups warn

Regulators 'really pushing the boundaries' with fintech

He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"

"A one-off enforcement action that rests on a strained reading of Securities Act Section 17(a)(2) is not the right way to make regulatory policy"

A “far more aggressive” SEC appears to be driving more defendants to litigate their enforcement actions rather than to settle

Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...

If you think cybersecurity is tough now, don’t worry. It’s going to get worse.

The SEC adjusts penalties due to inflation

Randy Robertson requested generally that Aviron help his daughter’s career, and on occasions Aviron presented her with potential opportunities in the film industry

Those who focus their glare of inquiry on others will have the lens turned on them, as the SEC’s Office of Inspector General has revealed ...