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SEC Enforcement Director Grewal Flags "Perfect Storm Brewing Around AI"

SEC Enforcement Director Grewal Flags "Perfect Storm Brewing Around AI"

Plus the DOJ is now reviewing other law firm options for lucrative Binance monitorship.

Bruce Carton
Bruce Carton
U.S. Supreme Court Rules Omissions Alone on Material Trends Not Actionable

U.S. Supreme Court Rules Omissions Alone on Material Trends Not Actionable

Plus what is a CAIO?

Bruce Carton
Bruce Carton
SEC and Others Feds Probe Morgan Stanley Over Client Vetting

SEC and Others Feds Probe Morgan Stanley Over Client Vetting

Plus SEC obtains final judgment in $690 million Ponzi scheme.

Bruce Carton
Bruce Carton
SEC Sends Wells Notice to Uniswap as Unregistered Broker and Exchange

SEC Sends Wells Notice to Uniswap as Unregistered Broker and Exchange

Plus the PCAOB hits KPMG with a $25 million fine over alleged exam cheating.

Bruce Carton
Bruce Carton
Why Shadow Insider Trading is a "Red Flag" for Private Companies, Too

Why Shadow Insider Trading is a "Red Flag" for Private Companies, Too

Plus your chance to win a Securities Docket hat 🧢

Bruce Carton
Bruce Carton
SEC Says Panuwat Case is "Insider Trading, Pure and Simple" -- Is It?

SEC Says Panuwat Case is "Insider Trading, Pure and Simple" -- Is It?

Plus Professor Grundfest unveils his test for "Quantifying the Significance of Circuit Splits."

Bruce Carton
Bruce Carton
Happy Friday in the SEC's Trial Unit as Agency Prevails in Panuwat and Terraform Jury Trials

Happy Friday in the SEC's Trial Unit as Agency Prevails in Panuwat and Terraform Jury Trials

Plus the SEC's stay of its climate rule should fast-track legal challenges.

Bruce Carton
Bruce Carton
Crypto Firms Team Up With Top Appellate Lawyers in Fifth Circuit Strategy

Crypto Firms Team Up With Top Appellate Lawyers in Fifth Circuit Strategy

Plus accounting-related securities class actions rose 10% in 2023.

Bruce Carton
Bruce Carton
SEC Charges Senvest with Recordkeeping Failures in Latest "Off-Channel" Case

SEC Charges Senvest with Recordkeeping Failures in Latest "Off-Channel" Case

Plus SEC Enforcement Director Grewal rejects a "decade's worth of arguments" by crypto firms.

Bruce Carton
Bruce Carton
Hunterbrook Launches the "Hedge Fund That’s Also a Newspaper"

Hunterbrook Launches the "Hedge Fund That’s Also a Newspaper"

Plus the SEC's FCPA Unit is looking at tech companies' use of distributors outside the U.S.

Bruce Carton
Bruce Carton
Bankman-Fried "Haunted Every Day" by the Damage He Caused

Bankman-Fried "Haunted Every Day" by the Damage He Caused

Plus why Goldman Sachs won't embrace Bitcoin.

Bruce Carton
Bruce Carton
The One About Nothing

The One About Nothing

Plus do insider traders rationally internalize legal risks?

Bruce Carton
Bruce Carton
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