Archive

SEC Sues Kraken for Operating as Unregistered Securities Exchange

Plus the DOJ is reportedly seeking $4 billion from Binance to resolve its criminal investigation.

Bruce Carton

Nov 20, 2023

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7 min read

NYT on SolarWinds: "The Cybersecurity Lawsuit That Boards Are Talking About"

Plus what SEC scrutiny awaits private funds in 2024?

Bruce Carton

Nov 17, 2023

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10 min read

SEC, FBI Defend New Cyber Incident Disclosure Rule at Aspen Cyber Summit

Plus the SEC identifies a new affinity group: investors who share a love of the outdoors.

Bruce Carton

When Internal Audit Talks, Are You Listening?

Nov 16, 2023

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11 min read

When Internal Audit Talks, Are You Listening?

Plus the FCPA Professor asks: "Does The SEC Even Need A Specific FCPA Unit?"

Bruce Carton

SEC Releases FY 2023 Enforcement Results, Including $5 Billion in Financial Remedies

Nov 15, 2023

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10 min read

SEC Releases FY 2023 Enforcement Results, Including $5 Billion in Financial Remedies

Plus the SEC charges Charter Communications for unauthorized stock buybacks.

Bruce Carton

Investors Now Using AI to Analyze Executives' Speech Rate, Tone, Pitch During Earnings Calls

Nov 14, 2023

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11 min read

Investors Now Using AI to Analyze Executives' Speech Rate, Tone, Pitch During Earnings Calls

Plus the SEC says companies should disclose AI plans, risks and investments.

Bruce Carton

Sizing Up the Cyber Attack and Potential Ransom Demand in the Allen & Overy Hack

Nov 13, 2023

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9 min read

Sizing Up the Cyber Attack and Potential Ransom Demand in the Allen & Overy Hack

Plus the Washington Post says if regulation ends crypto, "that's just fine."

Bruce Carton

SEC Charges Former Co-CEOs of Bitwise with Misleading Investors, Falsifying Documents

Nov 10, 2023

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10 min read

SEC Charges Former Co-CEOs of Bitwise with Misleading Investors, Falsifying Documents

Plus OneCoin’s "Head of Legal and Compliance" pleads guilty to wire fraud and money laundering.

Bruce Carton

Financial Firms Push Back Fiercely Against SEC's Proposed AI Rulemaking

Nov 9, 2023

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8 min read

Financial Firms Push Back Fiercely Against SEC's Proposed AI Rulemaking

Plus Rep. Emmer proposes legislation to defund the SEC's crypto enforcement.

Bruce Carton

Nov 8, 2023

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7 min read

After Bankman-Fried, Investor Class Action Focuses on Celebrities, Law Firms and VCs

Plus CFTC releases 2023 enforcement results and claims to be a "premier enforcement agency" for crypto.

Bruce Carton

SEC Commissioner Uyeda: SEC Should be Reluctant to "Set Regulatory Policy through Enforcement Actions"

Nov 7, 2023

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7 min read

SEC Commissioner Uyeda: SEC Should be Reluctant to "Set Regulatory Policy through Enforcement Actions"

Plus a look at the securities litigation and enforcement risks of AI.

Bruce Carton

How "Data Tagging" Will Help SEC Enforcement Against Public Companies

Nov 6, 2023

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10 min read

How "Data Tagging" Will Help SEC Enforcement Against Public Companies

Plus why the SDNY feels the "Need for Speed."

Bruce Carton

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SEC Sues Kraken for Operating as Unregistered Securities Exchange

NYT on SolarWinds: "The Cybersecurity Lawsuit That Boards Are Talking About"

SEC, FBI Defend New Cyber Incident Disclosure Rule at Aspen Cyber Summit

When Internal Audit Talks, Are You Listening?

SEC Releases FY 2023 Enforcement Results, Including $5 Billion in Financial Remedies

Investors Now Using AI to Analyze Executives' Speech Rate, Tone, Pitch During Earnings Calls

Sizing Up the Cyber Attack and Potential Ransom Demand in the Allen & Overy Hack

SEC Charges Former Co-CEOs of Bitwise with Misleading Investors, Falsifying Documents

Financial Firms Push Back Fiercely Against SEC's Proposed AI Rulemaking

After Bankman-Fried, Investor Class Action Focuses on Celebrities, Law Firms and VCs

SEC Commissioner Uyeda: SEC Should be Reluctant to "Set Regulatory Policy through Enforcement Actions"

How "Data Tagging" Will Help SEC Enforcement Against Public Companies

Daily Update from Securities Docket

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