Archive

Jarkesy: Supreme Court Holds Defendant Entitled to Jury Trial When SEC Seeks Civil Penalties

Plus SEC's Grewal concerned, sees risks in private credit valuations.

Bruce Carton

SEC Issues Specific Guidance on Determining Materiality for Cybersecurity Disclosures

Jun 27, 2024

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9 min read

SEC Issues Specific Guidance on Determining Materiality for Cybersecurity Disclosures

Plus lock your doors if you own crypto.

Bruce Carton

SEC Charges Meta Materials and Former CEOs with "Sophisticated, Yet Brazen" Plan to Mislead

Jun 26, 2024

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9 min read

SEC Charges Meta Materials and Former CEOs with "Sophisticated, Yet Brazen" Plan to Mislead

Plus former SEC Chair Clayton tells agency on climate issues: "Stay in your lane."

Bruce Carton

Corporate Restatements Return to Lower Pre-2021 Levels

Jun 25, 2024

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5 min read

Corporate Restatements Return to Lower Pre-2021 Levels

Plus the three separate courts that need to agree on how FTX customers should be repaid.

Bruce Carton

Jun 24, 2024

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6 min read

Surge in Crypto Prices Makes FTX Bankruptcy Payout Complicated

Plus here come the AI-related securities class actions.

Bruce Carton

Jun 21, 2024

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7 min read

Judge in Ripple Securities Litigation Sends Case to Trial

Plus is the trickle of SEC "AI" cases about to become a flood?

Bruce Carton

Supreme Court Issues Two New SEC-Related Opinions (No, Not THAT One)

Jun 20, 2024

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6 min read

Supreme Court Issues Two New SEC-Related Opinions (No, Not THAT One)

Plus top funds are sending their people to "hedge fund talent schools."

Bruce Carton

SEC Brings Settled Cybersecurity Controls Case Against R.R. Donnelley & Sons Co.

Jun 19, 2024

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8 min read

SEC Brings Settled Cybersecurity Controls Case Against R.R. Donnelley & Sons Co.

Plus SEC tells Consensys it is closing its investigation into Ethereum 2.0.

Bruce Carton

SEC Charges Defendant with Fraud for Bogus Offer to Invest $200 Million in Virgin Orbit

Jun 18, 2024

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8 min read

SEC Charges Defendant with Fraud for Bogus Offer to Invest $200 Million in Virgin Orbit

Plus the Supreme Court grants cert in Nvidia case on PSLRA pleading standards.

Bruce Carton

Private Fund Association's Key Weapon in Challenging SEC: A Texas Address

Jun 17, 2024

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7 min read

Private Fund Association's Key Weapon in Challenging SEC: A Texas Address

Plus the Chief of the SEC's Crypto Asset and Cyber Unit departs agency after nine years.

Bruce Carton

PCAOB Turns Up the Heat on Auditors Involved in Firm Violations

Jun 14, 2024

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7 min read

PCAOB Turns Up the Heat on Auditors Involved in Firm Violations

Plus Elon Musk prevails in shareholder vote on pay package but now faces legal battles.

Bruce Carton

Terraform Agrees to $4.47 Billion Settlement of SEC Case

Jun 13, 2024

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7 min read

Terraform Agrees to $4.47 Billion Settlement of SEC Case

Plus SEC sues JAG Capital, founder for "lying about nearly every aspect of the fund."

Bruce Carton

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Jarkesy: Supreme Court Holds Defendant Entitled to Jury Trial When SEC Seeks Civil Penalties

SEC Issues Specific Guidance on Determining Materiality for Cybersecurity Disclosures

SEC Charges Meta Materials and Former CEOs with "Sophisticated, Yet Brazen" Plan to Mislead

Corporate Restatements Return to Lower Pre-2021 Levels

Surge in Crypto Prices Makes FTX Bankruptcy Payout Complicated

Judge in Ripple Securities Litigation Sends Case to Trial

Supreme Court Issues Two New SEC-Related Opinions (No, Not THAT One)

SEC Brings Settled Cybersecurity Controls Case Against R.R. Donnelley & Sons Co.

SEC Charges Defendant with Fraud for Bogus Offer to Invest $200 Million in Virgin Orbit

Private Fund Association's Key Weapon in Challenging SEC: A Texas Address

PCAOB Turns Up the Heat on Auditors Involved in Firm Violations

Terraform Agrees to $4.47 Billion Settlement of SEC Case

Daily Update from Securities Docket

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