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LogoDaily Update from Securities Docket

Archive

See You in 2025!

Dec 31, 2024

•

5 min read

See You in 2025!

Plus poll results on whether the SEC and CFTC should merge.

Bruce Carton
Bruce Carton
Should the SEC and CFTC Merge?

Dec 30, 2024

•

7 min read

Should the SEC and CFTC Merge?

Plus the Supreme Court will consider forum-shopping in the Fifth Circuit (and elsewhere).

Bruce Carton
Bruce Carton
SEC Ends 2024 With Flurry of Enforcement Actions

Dec 27, 2024

•

8 min read

SEC Ends 2024 With Flurry of Enforcement Actions

Plus "Eight Enforcement Trends That Likely Will End Under a Trump SEC."

Bruce Carton
Bruce Carton
SEC Charges Entergy Corp. With Failing to Maintain Internal Accounting Controls

Dec 23, 2024

•

9 min read

SEC Charges Entergy Corp. With Failing to Maintain Internal Accounting Controls

Plus government lawyers are inundating the job market in Washington, D.C.

Bruce Carton
Bruce Carton
The Return of ICOs and SPACs

Dec 20, 2024

•

11 min read

The Return of ICOs and SPACs

Plus North Korean hackers stole a record amount of crypto in 2024.

Bruce Carton
Bruce Carton
Canceled Senate Vote "Effectively Ends" Commissioner Crenshaw’s Tenure at SEC

Dec 19, 2024

•

8 min read

Canceled Senate Vote "Effectively Ends" Commissioner Crenshaw’s Tenure at SEC

Plus might Trump 2.0 merge the SEC and CFTC?

Bruce Carton
Bruce Carton
SEC Charges Express, Inc. With Failing to Disclose Compensation Paid to Former CEO.

Dec 18, 2024

•

11 min read

SEC Charges Express, Inc. With Failing to Disclose Compensation Paid to Former CEO.

Plus introducing the "Enforcement Overtime" podcast.

Bruce Carton
Bruce Carton
The Six Founding Members of "The Shadow SEC"

Dec 17, 2024

•

9 min read

The Six Founding Members of "The Shadow SEC"

Plus the SEC charges Becton Dickinson with misleading investors about Alaris Infusion Pump and overstating income.

Bruce Carton
Bruce Carton
Decision Day for Elon Musk in SEC's Twitter Investigation?

Dec 16, 2024

•

7 min read

Decision Day for Elon Musk in SEC's Twitter Investigation?

Plus passing along a message to the Winklevii.

Bruce Carton
Bruce Carton
SEC Charges Cantor Fitzgerald With Causing SPACS to Make Misleading Disclosures Pre-IPOs

Dec 13, 2024

•

9 min read

SEC Charges Cantor Fitzgerald With Causing SPACS to Make Misleading Disclosures Pre-IPOs

Plus Elon Musk asks Chair Gensler, "Oh Gary, how could you do this to me?"

Bruce Carton
Bruce Carton
SEC and DOJ Charge Former Comtech CEO with Insider Trading

Dec 12, 2024

•

9 min read

SEC and DOJ Charge Former Comtech CEO with Insider Trading

Plus a poll about Steptoe's new "Choose Your Adventure" pay plan.

Bruce Carton
Bruce Carton
How Hard Might "DOGE" Hit the SEC?

Dec 11, 2024

•

9 min read

How Hard Might "DOGE" Hit the SEC?

Plus does $100K Bitcoin give the "last laugh to HODLers?"

Bruce Carton
Bruce Carton
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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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