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LogoDaily Update from Securities Docket

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SEC Charges Former Digital World CEO With Securities Fraud

Jul 18, 2024

•

7 min read

SEC Charges Former Digital World CEO With Securities Fraud

Plus, sure, you have money, but do you have stegosaurus money?

Bruce Carton
Bruce Carton
Financial Firms' Top Compliance Concern: Off-Channel Communications

Jul 17, 2024

•

7 min read

Financial Firms' Top Compliance Concern: Off-Channel Communications

Plus a jury finds Ozy Media and its CEO guilty of defrauding investors.

Bruce Carton
Bruce Carton
FTX and CFTC Reach $4 Billion Settlement Agreement

Jul 16, 2024

•

7 min read

FTX and CFTC Reach $4 Billion Settlement Agreement

Plus the winner of yesterday's acronym contest: The INSIDER Act.

Bruce Carton
Bruce Carton
Sweeping Changes Coming to Delaware Corporate Law

Jul 15, 2024

•

5 min read

Sweeping Changes Coming to Delaware Corporate Law

Plus a contest to name the next Act to stop Congressional trading 😀

Bruce Carton
Bruce Carton
Coinbase's Effort to Subpoena SEC Chair Gensler Hits Roadblock

Jul 12, 2024

•

6 min read

Coinbase's Effort to Subpoena SEC Chair Gensler Hits Roadblock

Plus the astronomical stakes in the legal fee battle over Elon Musk's pay package.

Bruce Carton
Bruce Carton
Archegos Founder Hwang Convicted on 10 Counts Following Collapse of Firm

Jul 11, 2024

•

9 min read

Archegos Founder Hwang Convicted on 10 Counts Following Collapse of Firm

Plus SEC Enforcement Director Grewal offers an "epilogue" on crypto enforcement.

Bruce Carton
Bruce Carton
Is Jarkesy of "Limited Significance" to SEC Enforcement?

Jul 10, 2024

•

10 min read

Is Jarkesy of "Limited Significance" to SEC Enforcement?

Plus SEC argues Pfizer has no right to $75 million remaining in fund for investors harmed by insider trading.

Bruce Carton
Bruce Carton
Jarkesy and the Loss of the SEC's In-House Court Expertise

Jul 9, 2024

•

9 min read

Jarkesy and the Loss of the SEC's In-House Court Expertise

Plus the Republican party platform promises to end "unlawful and unAmerican Crypto crackdown."

Bruce Carton
Bruce Carton
"C'mon, Do Something" Edition

Jul 8, 2024

•

3 min read

"C'mon, Do Something" Edition

Plus save the date for Securities Enforcement Forum Central 2024 (September 24, 2024)!

Bruce Carton
Bruce Carton
Supreme Court Delivers One More Punch to Agencies with Corner Post Decision

Jul 3, 2024

•

8 min read

Supreme Court Delivers One More Punch to Agencies with Corner Post Decision

Plus U.S. law firms "smell opportunity" following Supreme Court rulings.

Bruce Carton
Bruce Carton
SEC Charges Silvergate With Negligence-Based Fraud Concerning Compliance Program

Jul 2, 2024

•

8 min read

SEC Charges Silvergate With Negligence-Based Fraud Concerning Compliance Program

Plus Securities Enforcement Forum Central is set for September 24 at the Ritz-Carlton Chicago!

Bruce Carton
Bruce Carton
1-2 Punch: Supreme Court Follows Jarkesy With Loper Opinion, Overruling Chevron

Jul 1, 2024

•

9 min read

1-2 Punch: Supreme Court Follows Jarkesy With Loper Opinion, Overruling Chevron

Plus a poll: which Supreme Court case from last week will have a greater impact on the SEC?

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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