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Daily Update from Securities Docket

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

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Bruce Carton

Law Firm Document Processing Employee Charged With Insider Trading on Deals

Plus, how well do you know insider trading cases? Take our Friday trivia!

Jennifer Lee

SEC Backs CFTC in Court Fight Over Stock Perps

Nov 12, 2026

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4 min read

SEC Backs CFTC in Court Fight Over Stock Perps

Plus, SEC's Chief Economist on machine-understandable data

Jennifer Lee

CFTC Warns Kalshi About Imminent Charges Over New Contracts

Nov 11, 2026

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3 min read

CFTC Warns Kalshi About Imminent Charges Over New Contracts

Plus, SEC's FY2026 Enforcement Results: Most Cases Charged Individuals

Jennifer Lee

Corporations Already Feeling the Heat from Democrats' Congressional Investigations

Nov 10, 2026

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2 min read

Corporations Already Feeling the Heat from Democrats' Congressional Investigations

Plus "is the Nvidia affair securities fraud?"

Bruce Carton, +1

Single-Stock Perps Set Off a Wall Street Turf War

Nov 9, 2026

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4 min read

Single-Stock Perps Set Off a Wall Street Turf War

Plus, Q&A with Jennifer Leete, Partner at Cravath on what's next for the SEC's Financial Reporting and Audit Unit

Jennifer Lee, +1

Feds Charge Three in $129M ‘Super Intelligence’ Impersonation Scheme

Nov 6, 2026

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4 min read

Feds Charge Three in $129M ‘Super Intelligence’ Impersonation Scheme

Plus: Nicole Friedlander of Sullivan & Cromwell on North Korean IT workers, a SolarWinds trivia question, and what the new Congress means for cyber and AI

Jennifer Lee, +1

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

Nov 5, 2026

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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, +1

Register Now: Congressional Investigations Forum!

Nov 4, 2026

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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

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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, +1

...

Archive

Law Firm Document Processing Employee Charged With Insider Trading on Deals

SEC Backs CFTC in Court Fight Over Stock Perps

CFTC Warns Kalshi About Imminent Charges Over New Contracts

Corporations Already Feeling the Heat from Democrats' Congressional Investigations

Single-Stock Perps Set Off a Wall Street Turf War

Feds Charge Three in $129M ‘Super Intelligence’ Impersonation Scheme

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

Register Now: Congressional Investigations Forum!

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

Daily Update from Securities Docket

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