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Daily Update from Securities Docket

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

Written by

Bruce Carton

Archive

This newsletter is off today, back on Wednesday.

Oct 13, 2026

•

1 min read

This newsletter is off today, back on Wednesday.

Bruce Carton
Bruce Carton
Kalshi Investigates Well-Timed Bets on Trump’s Press Secretary Pick

Oct 12, 2026

•

6 min read

Kalshi Investigates Well-Timed Bets on Trump’s Press Secretary Pick

Plus, Q&A with Ranah Esmaili, Partner at Sidley Austin

Bruce Carton
Jennifer Lee
Bruce Carton, +1
DOJ Fraud Division Directive Calls for Early Asset Seizures and Cooperators

Oct 9, 2026

•

3 min read

DOJ Fraud Division Directive Calls for Early Asset Seizures and Cooperators

Plus, how well do you know Rule 10b-5? Find out in our trivia quiz!

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
SEC Issues First 21(a) Report in Eight Years, Targeting Climate Coalition's Role in Exxon Proxy Fight

Oct 8, 2026

•

4 min read

SEC Issues First 21(a) Report in Eight Years, Targeting Climate Coalition's Role in Exxon Proxy Fight

Plus, did we catch you on camera at SEF Central? Scenes from the day inside

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
Supreme Court Signals Skepticism of 401(k) Private Equity Challenge

Oct 7, 2026

•

3 min read

Supreme Court Signals Skepticism of 401(k) Private Equity Challenge

Plus, a poll: what deters cherry-picking more, a $100M firm penalty or an individual settlement?

Jennifer Lee
Jennifer Lee
SEC Charges Former Chairman and CEO of Global Tech Industries With Multi-Year Scheme to Defraud Investors

Oct 6, 2026

•

2 min read

SEC Charges Former Chairman and CEO of Global Tech Industries With Multi-Year Scheme to Defraud Investors

Plus Sam Waldon and Mark Cave return to private practice, while Steve Richards rejoins SEC.

Bruce Carton
Jennifer Lee
Bruce Carton, +1
OKX and ICE File With SEC to Launch 24/7 Tokenized Stock Trading

Oct 5, 2026

•

6 min read

OKX and ICE File With SEC to Launch 24/7 Tokenized Stock Trading

Plus, Q&A with Sarah Heaton Concannon, Partner at Quinn Emanuel Urquhart & Sullivan

Jennifer Lee
Jennifer Lee
SEC: Adviser Sold the SpaceX Dream, Misused Investors' Money

Oct 2, 2026

•

8 min read

SEC: Adviser Sold the SpaceX Dream, Misused Investors' Money

Plus, how well do you know the Securities Act of 1933? Take our Friday trivia quiz!

Jennifer Lee
Jennifer Lee
This newsletter is off today for Securities Enforcement Forum Central, back on Friday!

Oct 1, 2026

•

1 min read

This newsletter is off today for Securities Enforcement Forum Central, back on Friday!

Sub-title

Bruce Carton
Jennifer Lee
Bruce Carton, +1
...
Daily Update from Securities Docket

Daily Update from Securities Docket

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


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