May 30, 2023
Bye-Bye Big Boys? The SEC Turns its Enforcement Focus to Private Deals
June 24, 2021
Repairing A “Crack” in Insider Trading Regulation: SEC Rule 10b5-1 Trading Plans Face Increased Scrutiny
April 8, 2021
SEC and FINRA Emphasize Cybersecurity, AML, and Reg BI as Key Areas of Focus for Broker-Dealer Examinations in 2021
April 1, 2021
SEC Division of Examinations – 2021 Priorities
March 19, 2021
SEC Kicks Off 2021 Agenda With Intense Focus on ESG Disclosures
March 16, 2021
SEC Brings Action Against Morningstar Alleging Undisclosed CMBS Rating Adjustments
February 12, 2021
King & Spalding Discusses SEC’s Potential Focus During Biden Administration
February 3, 2021
Surprise Year-End SEC Disgorgement Legislation Settles Some Issues but Raises Others
February 1, 2021
Widening the Aperture Beyond Retail-Focused Advisers
September 3, 2020
The Evolution and 2020 Status of Cooperation in SEC Enforcement Investigations
September 24, 2018
Echoes of the Brand Memo
July 31, 2018
Cui Bono? The (Latest) Personal Benefit Test in Insider Trading Cases