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LogoDaily Update from Securities Docket

Archive

Will Trump's SEC End the Off-Channel Communications Cases?

Nov 20, 2024

•

9 min read

Will Trump's SEC End the Off-Channel Communications Cases?

Plus a new name emerges in the rumored candidates for SEC Chair.

Bruce Carton
Bruce Carton
SEC Charges BIT Mining with FCPA Violations for Bribery Scheme Involving Members of Japan’s Parliament

Nov 19, 2024

•

8 min read

SEC Charges BIT Mining with FCPA Violations for Bribery Scheme Involving Members of Japan’s Parliament

Plus Trump and Coinbase's CEO met privately yesterday to "discuss personnel appointments."

Bruce Carton
Bruce Carton
Breaking Down Possible SEC Chair Nominees

Nov 18, 2024

•

8 min read

Breaking Down Possible SEC Chair Nominees

Plus the "tone of voice" test for determining materiality in cybersecurity cases.

Bruce Carton
Bruce Carton
SEC Chair Gensler Highlights Agency's "Effective Administration" of Securities Laws

Nov 15, 2024

•

8 min read

SEC Chair Gensler Highlights Agency's "Effective Administration" of Securities Laws

Plus Trump nominates former SEC Chair Jay Clayton to serve as U.S. Attorney for SDNY.

Bruce Carton
Bruce Carton
Balancing 'Epic' Deregulation with Financial Stability

Nov 14, 2024

•

6 min read

Balancing 'Epic' Deregulation with Financial Stability

Plus prosecutors seek leniency for FTX defendant who built software to help the U.S. government uncover securities fraud.

Bruce Carton
Bruce Carton
SEC Charges Former Examiner at Federal Reserve with Illegal Trading, False Certifications

Nov 13, 2024

•

7 min read

SEC Charges Former Examiner at Federal Reserve with Illegal Trading, False Certifications

Plus a securities class action over Chipotle's portion size. 🌶️

Bruce Carton
Bruce Carton
Crypto Industry Execs: We Just Want Regulatory Clarity

Nov 12, 2024

•

7 min read

Crypto Industry Execs: We Just Want Regulatory Clarity

Plus a Bitcoin FOMO poll.

Bruce Carton
Bruce Carton
SEC Charges Invesco With Misleading Statements About "ESG Integration" in Investment Decisions.

Nov 11, 2024

•

8 min read

SEC Charges Invesco With Misleading Statements About "ESG Integration" in Investment Decisions.

Plus a detailed look at last week's panel on "The Day After: The Impact of the Election on SEC Enforcement."

Bruce Carton
Bruce Carton
What Will Trump 2.0 Mean for the SEC?

Nov 8, 2024

•

8 min read

What Will Trump 2.0 Mean for the SEC?

Plus announcing Securities Docket's "Enforcement Elite" for 2024.

Bruce Carton
Bruce Carton
Rollback of Crypto Enforcement, Recent SEC Rules Expected Under Trump

Nov 7, 2024

•

8 min read

Rollback of Crypto Enforcement, Recent SEC Rules Expected Under Trump

Plus is Elon Musk's "funding secured" legal battle finally over?

Bruce Carton
Bruce Carton
This newsletter is off today, back on Thursday.

Nov 6, 2024

•

1 min read

This newsletter is off today, back on Thursday.

A Short Election Day Edition

Nov 5, 2024

•

5 min read

A Short Election Day Edition

Plus it is Securities Enforcement Forum D.C. Eve!

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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