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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

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, +1

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

Oct 7, 2026

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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

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

Oct 6, 2026

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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, +1

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

Oct 5, 2026

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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

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

Oct 2, 2026

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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

Oct 1, 2026

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1 min read

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

Sub-title

Bruce Carton, +1

SEC Charges Scammers Who Used Fake SEC Filings as Their Credentials

Sep 30, 2026

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6 min read

SEC Charges Scammers Who Used Fake SEC Filings as Their Credentials

Plus, Director's Cut with Andrew Ceresney, Partner at Debevoise & Plimpton

Jennifer Lee

Anthropic IPO Prospectus Risk Factors to Include "Catastrophic or Existential Risks to Humanity"

Sep 29, 2026

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3 min read

Anthropic IPO Prospectus Risk Factors to Include "Catastrophic or Existential Risks to Humanity"

Plus the trailer for Nathan Fielder's movie about Elizabeth Holmes.

Bruce Carton

SEC Commissioner Hester Peirce to Step Down as of October 2

Sep 28, 2026

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3 min read

SEC Commissioner Hester Peirce to Step Down as of October 2

Plus, how well did you know the SEC? Find out Friday's trivia results!

Jennifer Lee

...

Archive

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

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

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

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

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

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

SEC Charges Scammers Who Used Fake SEC Filings as Their Credentials

Anthropic IPO Prospectus Risk Factors to Include "Catastrophic or Existential Risks to Humanity"

SEC Commissioner Hester Peirce to Step Down as of October 2

Daily Update from Securities Docket

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