SEC: Enforcement

Throughout its history, Ensign Peak was required to file Forms 13F identifying and providing certain information about the Section 13(f) Securities that it managed for ...

Cases raise 'red flags' for funds' due diligence

"Instead of taking the path of thinking through staking programs and issuing guidance, we again chose to speak through an enforcement action"

Industry groups warn Gensler on overreach

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 ...