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SEC Announces Dismissal of Action Against Former CFO of View, Inc.

Mar 3, 2026

•

9 min read

SEC Announces Dismissal of Action Against Former CFO of View, Inc.

Plus another section for the syllabus of “The Law of Elon Musk.”

Bruce Carton
Bruce Carton
SEC Releases New Insider Trading Rules for Foreign Companies to Bring in Line with U.S. Companies

Mar 2, 2026

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9 min read

SEC Releases New Insider Trading Rules for Foreign Companies to Bring in Line with U.S. Companies

Plus is crypto "pointless?"

Bruce Carton
Bruce Carton
Florida Man Arrested in "Arguably Largest"-Ever Crypto Ponzi Scheme

Feb 27, 2026

•

10 min read

Florida Man Arrested in "Arguably Largest"-Ever Crypto Ponzi Scheme

Plus Securities Enforcement Forum West is set for Thursday, May 21, 2026, please save the date!

Bruce Carton
Bruce Carton
Kalshi Announces First Enforcement Actions for Insider Trading

Feb 26, 2026

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9 min read

Kalshi Announces First Enforcement Actions for Insider Trading

Plus a poll: Did you know Kalshi could even bring enforcement actions?

Bruce Carton
Bruce Carton
SEC Announces Changes to Wells Process, Cooperation, Settlements and More in Revised Enforcement Manual

Feb 25, 2026

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9 min read

SEC Announces Changes to Wells Process, Cooperation, Settlements and More in Revised Enforcement Manual

Plus the White House throws cold water on the idea of a Sam Bankman-Fried pardon.

Bruce Carton
Bruce Carton
SEC Charges Former CEO, Consultant with False Statements Regarding PPE Purchases During COVID

Feb 24, 2026

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7 min read

SEC Charges Former CEO, Consultant with False Statements Regarding PPE Purchases During COVID

Plus should Anthropic launch a “Shadow Trading Division?”

Bruce Carton
Bruce Carton
SEC Charges Texas Company, Former CEO with Alleged Fraud in Stock Offering

Feb 23, 2026

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8 min read

SEC Charges Texas Company, Former CEO with Alleged Fraud in Stock Offering

Plus the Supreme Court's decision on tariffs means the D&O risk continues.

Bruce Carton
Bruce Carton
SEC Charges Texas Brothers With Alleged $12 Million Real Estate Offering Fraud.

Feb 20, 2026

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10 min read

SEC Charges Texas Brothers With Alleged $12 Million Real Estate Offering Fraud.

Plus a federal court somehow seats nine jurors who claim they can be fair and impartial to Elon Musk in Twitter securities class action.

Bruce Carton
Bruce Carton
Musk Argues SEC's Disclosure Case Against Him is Unconstitutional and Selective Enforcement

Feb 19, 2026

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9 min read

Musk Argues SEC's Disclosure Case Against Him is Unconstitutional and Selective Enforcement

Plus interesting scenes from ETHDenver, where SEC Chairman Paul Atkins and SEC Commissioner Hester Peirce took the stage.

Bruce Carton
Bruce Carton
SEC Chairman Atkins Floats Safe Harbor from Liability for Disclosure Related to Events "Reasonably Likely to Affect Most Companies"

Feb 18, 2026

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8 min read

SEC Chairman Atkins Floats Safe Harbor from Liability for Disclosure Related to Events "Reasonably Likely to Affect Most Companies"

Plus the CFTC and the states prepare for intense battle regarding jurisdiction over prediction markets.

Bruce Carton
Bruce Carton
CFTC Chair Selig Says States are Undermining the Agency’s "Exclusive Jurisdiction" Over Prediction Markets

Feb 17, 2026

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8 min read

CFTC Chair Selig Says States are Undermining the Agency’s "Exclusive Jurisdiction" Over Prediction Markets

Plus Rep. Maxine Waters criticizes the SEC's partisan composition and recent regulatory rollbacks.

Bruce Carton
Bruce Carton
Israeli Prosecutors Indict IDF Reservist for Using Classified Military Information to Trade on Polymarket

Feb 16, 2026

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8 min read

Israeli Prosecutors Indict IDF Reservist for Using Classified Military Information to Trade on Polymarket

Plus the SEC signals that "AI governance and controls are becoming table stakes" for issuers.

Bruce Carton
Bruce Carton
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Daily Update from Securities Docket

Daily Update from Securities Docket

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