Bruce Carton

Bruce Carton

Bruce Carton is the President of Docket Media LLC and the editor of Securities Docket and Cybersecurity Docket. He is also the founder of the Securities Enforcement Forum and Incident Response Forum conferences. Carton is a former Senior Counsel with the SEC’s Division of Enforcement. He was subsequently a securities litigation and SEC enforcement partner with one of the world’s largest law firms (now known as DLA Piper), and later a Vice President at Institutional Shareholder Services. From 2008-2016, Carton was a featured columnist for Compliance Week on securities enforcement and litigation issues and the author of Compliance Week’s “Enforcement Action” blog. From 2009-2013, Carton was the co-author of Law.com’s popular “Legal Blog Watch” column.

Will Trump's SEC End the Off-Channel Communications Cases?

Will Trump's SEC End the Off-Channel Communications Cases?

Plus a new name emerges in the rumored candidates for SEC Chair.

Bruce Carton
Bruce Carton
SEC Charges BIT Mining with FCPA Violations for Bribery Scheme Involving Members of Japan’s Parliament

SEC Charges BIT Mining with FCPA Violations for Bribery Scheme Involving Members of Japan’s Parliament

Plus Trump and Coinbase's CEO met privately yesterday to "discuss personnel appointments."

Bruce Carton
Bruce Carton
Breaking Down Possible SEC Chair Nominees

Breaking Down Possible SEC Chair Nominees

Plus the "tone of voice" test for determining materiality in cybersecurity cases.

Bruce Carton
Bruce Carton
SEC Chair Gensler Highlights Agency's "Effective Administration" of Securities Laws

SEC Chair Gensler Highlights Agency's "Effective Administration" of Securities Laws

Plus Trump nominates former SEC Chair Jay Clayton to serve as U.S. Attorney for SDNY.

Bruce Carton
Bruce Carton
Balancing 'Epic' Deregulation with Financial Stability

Balancing 'Epic' Deregulation with Financial Stability

Plus prosecutors seek leniency for FTX defendant who built software to help the U.S. government uncover securities fraud.

Bruce Carton
Bruce Carton
SEC Charges Former Examiner at Federal Reserve with Illegal Trading, False Certifications

SEC Charges Former Examiner at Federal Reserve with Illegal Trading, False Certifications

Plus a securities class action over Chipotle's portion size. 🌶️

Bruce Carton
Bruce Carton
Crypto Industry Execs: We Just Want Regulatory Clarity

Crypto Industry Execs: We Just Want Regulatory Clarity

Plus a Bitcoin FOMO poll.

Bruce Carton
Bruce Carton
SEC Charges Invesco With Misleading Statements About "ESG Integration" in Investment Decisions.

SEC Charges Invesco With Misleading Statements About "ESG Integration" in Investment Decisions.

Plus a detailed look at last week's panel on "The Day After: The Impact of the Election on SEC Enforcement."

Bruce Carton
Bruce Carton
What Will Trump 2.0 Mean for the SEC?

What Will Trump 2.0 Mean for the SEC?

Plus announcing Securities Docket's "Enforcement Elite" for 2024.

Bruce Carton
Bruce Carton
Rollback of Crypto Enforcement, Recent SEC Rules Expected Under Trump

Rollback of Crypto Enforcement, Recent SEC Rules Expected Under Trump

Plus is Elon Musk's "funding secured" legal battle finally over?

Bruce Carton
Bruce Carton