Archive

Virtu Settles SEC Case Over Access to Client Data, Will Pay $2.5 Million

Plus Chairman Atkins warns of increased scrutiny of Chinese firms in U.S. markets.

Bruce Carton

Dec 4, 2025

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2 min read

Secret Reasons

This newsletter is off today, back tomorrow.

Bruce Carton

Term Set to End January 3 for Lone Democrat SEC Commissioner Caroline Crenshaw

Dec 3, 2025

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8 min read

Term Set to End January 3 for Lone Democrat SEC Commissioner Caroline Crenshaw

Plus a huge drop-off in the SEC's financial reporting-related enforcement actions.

Bruce Carton

Today at 10 am ET: SEC Chairman Atkins to Deliver "Major Speech" at NYSE

Dec 2, 2025

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9 min read

Today at 10 am ET: SEC Chairman Atkins to Deliver "Major Speech" at NYSE

Plus Pres. Trump commutes the seven-year sentence of a former private equity CEO after 12 days in prison.

Bruce Carton

Dec 1, 2025

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7 min read

Tether CEO to Skeptics: "We Wear Your Loathing With Pride"

Plus two polls!

Bruce Carton

Supreme Court Urged to Limit SEC's Disgorgement Power

Nov 28, 2025

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7 min read

Supreme Court Urged to Limit SEC's Disgorgement Power

Plus S&P downgrades Tether's reserves to its lowest measure.

Bruce Carton

Barnes & Noble Education Discloses Ex-Employee Knowingly Circumvented Internal Controls to Make Improper Journal Entries

Nov 26, 2025

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6 min read

Barnes & Noble Education Discloses Ex-Employee Knowingly Circumvented Internal Controls to Make Improper Journal Entries

Plus 89% of you do not believe in the "you weren't supposed to be working during the shutdown" defense.

Bruce Carton

Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Nov 25, 2025

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7 min read

Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Plus why the sun is shining on private fund lawyers right now.

Bruce Carton

Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

Nov 24, 2025

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11 min read

Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

Plus should we legalize insider trading?

Bruce Carton

Nov 21, 2025

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9 min read

SEC Dismisses SolarWinds Case with Prejudice

Plus Bitcoin continues to crash.

Bruce Carton

Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Nov 20, 2025

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8 min read

Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Plus a House bill to ban Congress from owning and trading stocks is "gaining momentum."

Bruce Carton

Merge the SEC and CFTC into a New "Financial Markets Agency?"

Nov 19, 2025

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10 min read

Merge the SEC and CFTC into a New "Financial Markets Agency?"

Plus early-bird registration now open for Securities Enforcement Forum New York!

Bruce Carton

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Virtu Settles SEC Case Over Access to Client Data, Will Pay $2.5 Million

Secret Reasons

Term Set to End January 3 for Lone Democrat SEC Commissioner Caroline Crenshaw

Today at 10 am ET: SEC Chairman Atkins to Deliver "Major Speech" at NYSE

Tether CEO to Skeptics: "We Wear Your Loathing With Pride"

Supreme Court Urged to Limit SEC's Disgorgement Power

Barnes & Noble Education Discloses Ex-Employee Knowingly Circumvented Internal Controls to Make Improper Journal Entries

Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

SEC Dismisses SolarWinds Case with Prejudice

Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Merge the SEC and CFTC into a New "Financial Markets Agency?"

Daily Update from Securities Docket

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