SEC Alleges Boiler Room Operators Engaged in "Pre-IPO Fraud Schemes"

Plus former CIO of Allianz Global pleads guilty to two counts of investment adviser fraud.

SEC Overturns Its Initial Denial of Whistleblower Award to Kyle Bass

Plus DOJ confirms granting several delays in SEC cyber disclosures due to national security.

Fifth Circuit Vacates SEC's Private Funds Rule

Plus the SEC becomes a nonagenarian today (Happy 90th)!

SEC Will Close its Salt Lake Regional Office Later This Year

Plus Texas Stock Exchange "TXSE" plans to challenge NYSE and Nasdaq.

SEC Obtains Final Judgment Against Former Arista Networks Chairman in Insider Trading Case

Plus Dapper Labs settles class alleging NFTs were unregistered securities.

SEC Charges Firm, Founder with Scheme to Manipulate Getty Images Stock Via Phony Buyout

Plus Binance founder CZ begins his four-month sentence in a California prison.

The Impact of Whistleblower Programs on In-House Compliance

Plus Matt Levine's take on how companies could negate the impact of the Panuwat case.

SEC's Grewal Details "Five Principles of Effective Cooperation"

Plus Rep. McHenry vows “we will have crypto law within the next year, and I can say that with certainty."

Judge in DEBT Box Case Orders SEC to Pay $1.8 Million in Fees

Plus former FTX executive sentenced to over seven years in prison.

SEC's Grewal on Cooperation: It's No Longer "If We’ll Find Out About a Violation, but When”

Plus Blackstone, TPG and Carlyle Group disclose settlement negotiations over off-channel communications.

SEC Approves Ether ETFs

Plus FTX bankruptcy examiner finds no evidence Sullivan & Cromwell knew about fraud or ignored "red flags."

See you at Securities Enforcement Forum West 2024!