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SEC Brings Settled Fraud Charges Against Digital World SPAC

Jul 21, 2023

•

7 min read

SEC Brings Settled Fraud Charges Against Digital World SPAC

Plus a House Committee introduces the "Financial Innovation and Technology for the 21st Century Act" for crypto.

Bruce Carton
Bruce Carton
Groundhog Day: Bipartisan Legislation Seeks to Bar Executive and Legislative Branches from Owning Stock

Jul 20, 2023

•

10 min read

Groundhog Day: Bipartisan Legislation Seeks to Bar Executive and Legislative Branches from Owning Stock

Plus how does Taylor Swift keep getting in this newsletter?

Bruce Carton
Bruce Carton
Tesla Board Agrees to "Largest Shareholder Derivative Lawsuit Settlement Ever"

Jul 19, 2023

•

7 min read

Tesla Board Agrees to "Largest Shareholder Derivative Lawsuit Settlement Ever"

Plus a poll: Are you using AI yet professionally?

Bruce Carton
Bruce Carton
SEC Chair Gensler on "the Most Transformative Technology of our Time"

Jul 18, 2023

•

7 min read

SEC Chair Gensler on "the Most Transformative Technology of our Time"

Plus Coinbase CEO to meet privately with House Democrats.

Bruce Carton
Bruce Carton
What Does Ripple Decision Mean? Unclear, Other Than "Lawyers are Going to Make More Money"

Jul 17, 2023

•

9 min read

What Does Ripple Decision Mean? Unclear, Other Than "Lawyers are Going to Make More Money"

Plus the irony of Coinbase's "regulatory estoppel" defense.

Bruce Carton
Bruce Carton
DOJ, SEC, CFTC and FTC Line Up to Charge Celsius Founder With Fraud and Much More

Jul 14, 2023

•

9 min read

DOJ, SEC, CFTC and FTC Line Up to Charge Celsius Founder With Fraud and Much More

Plus everyone declares victory after a mixed court ruling in the SEC's Ripple case.

Bruce Carton
Bruce Carton
SEC Brings Action Against RSE for Operating Unregistered Securities Exchange

Jul 13, 2023

•

9 min read

SEC Brings Action Against RSE for Operating Unregistered Securities Exchange

Plus SEC awards $9 million to whistleblower.

Bruce Carton
Bruce Carton
SEC Brings Action Against Merrill Lynch for Failing to File Hundreds of SARs

Jul 12, 2023

•

10 min read

SEC Brings Action Against Merrill Lynch for Failing to File Hundreds of SARs

Plus have you hugged your corporate accountant today?

Bruce Carton
Bruce Carton
GOP Plan to Reign in SEC on Crypto Stalls as Lawmakers "Dither"

Jul 11, 2023

•

6 min read

GOP Plan to Reign in SEC on Crypto Stalls as Lawmakers "Dither"

Plus the UK prepares to roll out a 24-hour "cool down" period for crypto purchases.

Bruce Carton
Bruce Carton
SEC Charges Former Army Financial Counselor for Defrauding Gold Star Families

Jul 10, 2023

•

9 min read

SEC Charges Former Army Financial Counselor for Defrauding Gold Star Families

Plus the SEC argues Coinbase's own risk factors show it knew listed assets could be securities.

Bruce Carton
Bruce Carton
Does the SEC's Solarwinds Wells Notice Raise the Stakes for CISOs "Monumentally?"

Jul 7, 2023

•

8 min read

Does the SEC's Solarwinds Wells Notice Raise the Stakes for CISOs "Monumentally?"

Plus several key Binance executives head for the exits.

Bruce Carton
Bruce Carton
SEC Critics Look to U.S. Supreme Court for Answers on ALJs, Crypto

Jul 6, 2023

•

9 min read

SEC Critics Look to U.S. Supreme Court for Answers on ALJs, Crypto

Plus debunking Taylor Swift's short-lived status as a securities law expert.

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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