In November 2024, the SEC filed 59 actions against a combined total of 72 defendants and respondents, and the CFTC did not file any cases. (These figures exclude follow-on actions, bars a...
DOJ issued a policy statement summarizing the Biden administration’s corporate enforcement efforts and previously announced updates to its Corporate Enforcement Policy (CEP), as well as...
The proposed rule would limit U.S. persons from providing access to “bulk” U.S. sensitive personal data and government-related data to persons located in or connected to countries per...
Crafting a comprehensive regulatory framework for crypto will take time. But there are a few steps that the new SEC chair can immediately take to get the ball rolling.
The SEC announced settled enforcement actions against several victims of the SolarWinds hack, alleging that they downplayed the extent to which they were impacted by the intrusions. The a...
In its latest enforcement sweep with the help of data analytics, the SEC settled charges with 23 stockholders and two public companies for reporting failures under Sections 13 and 16 of t...
The Federal Trade Commission launched Operation AI Comply, announcing enforcement actions against five companies for alleged deception regarding artificial intelligence. The FTC’s acti...
The SEC finalized a package of amendments to Regulation National Market System (Reg NMS) to reduce minimum pricing increments (or “ticks”) for certain stocks to half-penny increments,...
DOJ made changes to its Evaluation of Corporate Compliance Programs, the first since March 2023. The changes focus on the management of technology risk, including the use of artificial i...
The SEC announced the settlement of enforcement actions against seven companies, stemming from the use of employment and related agreements that allegedly violated Dodd-Frank whistleblowe...
