Daily Update from Securities Docket

Daily Update from Securities Docket

Read by defense counsel, in-house counsel, regulators, consultants and everyone else.

Archive

Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Plus why the sun is shining on private fund lawyers right now.

Bruce Carton
Bruce Carton
Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

Plus should we legalize insider trading?

Bruce Carton
Bruce Carton
SEC Dismisses SolarWinds Case with Prejudice

SEC Dismisses SolarWinds Case with Prejudice

Plus Bitcoin continues to crash.

Bruce Carton
Bruce Carton
Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Plus a House bill to ban Congress from owning and trading stocks is "gaining momentum."

Bruce Carton
Bruce Carton
Merge the SEC and CFTC into a New "Financial Markets Agency?"

Merge the SEC and CFTC into a New "Financial Markets Agency?"

Plus early-bird registration now open for Securities Enforcement Forum New York!

Bruce Carton
Bruce Carton
SEC's Statement of 2026 Examination Priorities Omits Cryptocurrency

SEC's Statement of 2026 Examination Priorities Omits Cryptocurrency

Plus a Ranch Alert?

Bruce Carton
Bruce Carton
Will the NDTX Become the New SDNY?

Will the NDTX Become the New SDNY?

Plus the SEC emerges from the shutdown by filing six new adviser enforcement actions.

Bruce Carton
Bruce Carton
Senior SEC Enforcement Official Antonia Apps to Depart Agency Dec. 1, 2025

Senior SEC Enforcement Official Antonia Apps to Depart Agency Dec. 1, 2025

Plus Pres. Tump pardons UK billionaire Joe Lewis, who pleaded guilty to insider trading.

Bruce Carton
Bruce Carton
Coinbase Becomes Latest Company to Leave Delaware, Will Reincorporate in Texas

Coinbase Becomes Latest Company to Leave Delaware, Will Reincorporate in Texas

Plus the government shutdown finally ends after 43 days.

Bruce Carton
Bruce Carton
UK Court Sentences Qian Zhimin to 11 Years in Prison for Role in Massive Bitcoin Scam

UK Court Sentences Qian Zhimin to 11 Years in Prison for Role in Massive Bitcoin Scam

Plus private equity may soon own part of a major U.S. law firm.

Bruce Carton
Bruce Carton
Senate Discloses Bipartisan Bill to Shift Crypto Oversight from the SEC to CFTC

Senate Discloses Bipartisan Bill to Shift Crypto Oversight from the SEC to CFTC

Plus First Brands new CEO testifies there is evidence of massive financial fraud at the company.

Bruce Carton
Bruce Carton
"Is Regulation by Enforcement Dead Under Atkins?"

"Is Regulation by Enforcement Dead Under Atkins?"

Plus that apparently trustworthy video may be an AI narrator scam.

Bruce Carton
Bruce Carton
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