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SEC Charges Marcum's National Assurance Services Leader with Quality Control Deficiencies

Sep 13, 2023

•

10 min read

SEC Charges Marcum's National Assurance Services Leader with Quality Control Deficiencies

Plus a poll: Which comes first, a Bitcoin ETF or a congressional insider trading ban?

Bruce Carton
Bruce Carton
SEC Announces Sweep Against Investment Advisers for Improperly Advertising Hypothetical Performance

Sep 12, 2023

•

7 min read

SEC Announces Sweep Against Investment Advisers for Improperly Advertising Hypothetical Performance

Plus SEC Chair Gensler testifies today before the Senate Banking Committee.

Bruce Carton
Bruce Carton
SEC Charges Privately Held Company with Violating Whistleblower Protection Rules

Sep 11, 2023

•

8 min read

SEC Charges Privately Held Company with Violating Whistleblower Protection Rules

Plus where will you be on September 19?

Bruce Carton
Bruce Carton
SEC Charges Linus Financial with Offer and Sale of Unregistered Crypto Assets

Sep 8, 2023

•

11 min read

SEC Charges Linus Financial with Offer and Sale of Unregistered Crypto Assets

Plus a fourth top FTX executive pleads guilty to criminal charges.

Bruce Carton
Bruce Carton
SEC Charges Fluor Corp. and Executives with Improper Accounting

Sep 7, 2023

•

9 min read

SEC Charges Fluor Corp. and Executives with Improper Accounting

Plus FASB adopts fair-value accounting standard for Bitcoin and other crypto assets.

Bruce Carton
Bruce Carton
SEC Charges Private Equity Firm for Inadequate Disclosure of Fees

Sep 6, 2023

•

10 min read

SEC Charges Private Equity Firm for Inadequate Disclosure of Fees

Plus a profile of the SEC's Hester Peirce, "Republican thorn in the SEC’s side."

Bruce Carton
Bruce Carton
Crypto Bankruptcies Result in "$700 Million Bonanza" for Lawyers, Consultants

Sep 5, 2023

•

9 min read

Crypto Bankruptcies Result in "$700 Million Bonanza" for Lawyers, Consultants

Plus SEC goes back to the future with an internet message board case.

Bruce Carton
Bruce Carton
SEC Pushes Decisions on Pending Bitcoin ETF Applications to October

Sep 1, 2023

•

9 min read

SEC Pushes Decisions on Pending Bitcoin ETF Applications to October

Plus the DOJ and SEC are investigating a "secret glass house" for Elon Musk.

Bruce Carton
Bruce Carton
What is the SEC's Next Move Following Defeat on Grayscale Bitcoin ETF?

Aug 31, 2023

•

6 min read

What is the SEC's Next Move Following Defeat on Grayscale Bitcoin ETF?

Plus reports of an SEC sweep regarding private funds' use of A.I.

Bruce Carton
Bruce Carton
D.C. Circuit Holds SEC's Denial of Grayscale’s Bitcoin ETF was Arbitrary and Capricious

Aug 30, 2023

•

11 min read

D.C. Circuit Holds SEC's Denial of Grayscale’s Bitcoin ETF was Arbitrary and Capricious

Plus what are the implications of the SEC's unusual sealed motion in the Binance case?

Bruce Carton
Bruce Carton
SEC Charges Impact Theory with $30 Million Unregistered Offering of NFTs

Aug 29, 2023

•

9 min read

SEC Charges Impact Theory with $30 Million Unregistered Offering of NFTs

Plus Sam Bankman-Fried appeals his jailing as trial grows near.

Bruce Carton
Bruce Carton
SEC Charges 3M for FCPA Violations by 3M-China

Aug 28, 2023

•

9 min read

SEC Charges 3M for FCPA Violations by 3M-China

Plus the SEC awards a whistleblower $18 million.

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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