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LogoDaily Update from Securities Docket

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Term Set to End January 3 for Lone Democrat SEC Commissioner Caroline Crenshaw

Dec 3, 2025

•

8 min read

Term Set to End January 3 for Lone Democrat SEC Commissioner Caroline Crenshaw

Plus a huge drop-off in the SEC's financial reporting-related enforcement actions.

Bruce Carton
Bruce Carton
Today at 10 am ET: SEC Chairman Atkins to Deliver "Major Speech" at NYSE

Dec 2, 2025

•

9 min read

Today at 10 am ET: SEC Chairman Atkins to Deliver "Major Speech" at NYSE

Plus Pres. Trump commutes the seven-year sentence of a former private equity CEO after 12 days in prison.

Bruce Carton
Bruce Carton
Tether CEO to Skeptics: "We Wear Your Loathing With Pride"

Dec 1, 2025

•

7 min read

Tether CEO to Skeptics: "We Wear Your Loathing With Pride"

Plus two polls!

Bruce Carton
Bruce Carton
Supreme Court Urged to Limit SEC's Disgorgement Power

Nov 28, 2025

•

7 min read

Supreme Court Urged to Limit SEC's Disgorgement Power

Plus S&P downgrades Tether's reserves to its lowest measure.

Bruce Carton
Bruce Carton
Barnes & Noble Education Discloses Ex-Employee Knowingly Circumvented Internal Controls to Make Improper Journal Entries

Nov 26, 2025

•

6 min read

Barnes & Noble Education Discloses Ex-Employee Knowingly Circumvented Internal Controls to Make Improper Journal Entries

Plus 89% of you do not believe in the "you weren't supposed to be working during the shutdown" defense.

Bruce Carton
Bruce Carton
Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Nov 25, 2025

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7 min read

Defendant in SEC Enforcement Action Counters that SEC Wasn't Supposed to be Working During the Shutdown

Plus why the sun is shining on private fund lawyers right now.

Bruce Carton
Bruce Carton
Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

Nov 24, 2025

•

11 min read

Reduced Enforcement Activity by SEC but "Foreign Companies Should Remain Vigilant"

Plus should we legalize insider trading?

Bruce Carton
Bruce Carton
SEC Dismisses SolarWinds Case with Prejudice

Nov 21, 2025

•

9 min read

SEC Dismisses SolarWinds Case with Prejudice

Plus Bitcoin continues to crash.

Bruce Carton
Bruce Carton
Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Nov 20, 2025

•

8 min read

Courts Not Aggressively Applying Jarkesy to Bar Agency In-House Judges

Plus a House bill to ban Congress from owning and trading stocks is "gaining momentum."

Bruce Carton
Bruce Carton
Merge the SEC and CFTC into a New "Financial Markets Agency?"

Nov 19, 2025

•

10 min read

Merge the SEC and CFTC into a New "Financial Markets Agency?"

Plus early-bird registration now open for Securities Enforcement Forum New York!

Bruce Carton
Bruce Carton
SEC's Statement of 2026 Examination Priorities Omits Cryptocurrency

Nov 18, 2025

•

7 min read

SEC's Statement of 2026 Examination Priorities Omits Cryptocurrency

Plus a Ranch Alert?

Bruce Carton
Bruce Carton
Will the NDTX Become the New SDNY?

Nov 17, 2025

•

7 min read

Will the NDTX Become the New SDNY?

Plus the SEC emerges from the shutdown by filing six new adviser enforcement actions.

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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