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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

SEC Enforcement Director Woodcock on AI, Accounting and a ‘Nimble’ Division

Nov 5, 2026

•

3 min read

SEC Enforcement Director Woodcock on AI, Accounting and a ‘Nimble’ Division

Plus, perpetual futures on single stocks start trading in the U.S. — under both the CFTC and the SEC

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
Register Now: Congressional Investigations Forum!

Nov 4, 2026

•

1 min read

Register Now: Congressional Investigations Forum!

With Democrats set to take Congress, registration is now open for January 20, 2027 in D.C.

Democrats Take Congress: What It Means for Banks, Crypto and Securities Enforcement

Nov 4, 2026

•

3 min read

Democrats Take Congress: What It Means for Banks, Crypto and Securities Enforcement

Plus, Block's $964M DOJ penalty for AML lapses

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +1
Binance Outflows Hit $5 Billion After Hack, North Korea Denies Responsibility

Nov 3, 2026

•

2 min read

Binance Outflows Hit $5 Billion After Hack, North Korea Denies Responsibility

Plus Sens. Warren and Van Hollen ask SEC to reconsider public company disclosure rollbacks.

Bruce Carton
Jennifer Lee
Bruce Carton, +1
SEC Enf Director: AI Disclosures Are on the Radar

Nov 2, 2026

•

4 min read

SEC Enf Director: AI Disclosures Are on the Radar

Plus: Gibson Dunn’s Mark Schonfeld on where the next wave of investigations could come from

Jennifer Lee
Jennifer Lee
SEC: Fake SEC Filings Helped Raise $130 Million From Retail Investors

Oct 30, 2026

•

5 min read

SEC: Fake SEC Filings Helped Raise $130 Million From Retail Investors

Plus, a $2 million FCA settlement becomes a securities suit, the FTC sues Toast, and a preview of our Private Funds panel

Jennifer Lee
Jennifer Lee
Powerhouse Law Firm Weil, Gotshal Plans to Dissolve

Oct 29, 2026

•

2 min read

Powerhouse Law Firm Weil, Gotshal Plans to Dissolve

Plus Utah charges Kalshi with promoting online gambling.

Bruce Carton
Jennifer Lee
Bruce Carton, +1
Congressional Investigations Forum: Open for Registration!

Oct 28, 2026

•

1 min read

Congressional Investigations Forum: Open for Registration!

SEC to Rajaratnam: A Settled Bar Stays Settled

Oct 28, 2026

•

5 min read

SEC to Rajaratnam: A Settled Bar Stays Settled

Plus, In-House Insights with Ryan VanGrack, Vice Chairman of Coinbase

Jennifer Lee
Jaclyn Jaeger
Jennifer Lee, +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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