Dropped Accountant Cases May Lead to Federal Court Bars: SEC Roundup
By Nicolas Morgan and Tom ZaccaroThe SEC may move away from administrative proceedings in accountant cases, according to former enforcement director Andrew Ceresney.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 14, 2024
Court Adopts SEC's Expansive View of 'Dealer': SEC RoundupSEC's rationale threatens to ensnare unsuspecting private funds, family offices and private investment in public equity (PIPE) investors.
May 24, 2024
Will This Crypto Requirement Be Killed? — SEC RoundupCongress voted to repeal an accounting requirement that crypto assets be reported as liabilities. Will Biden approve?
May 02, 2024
Beware of Double Jeopardy in SEC Proceedings: SEC RoundupAfter federal court litigation, the SEC may seek to bar you for the same conduct.
March 29, 2024
Court Tackles SEC Authority to Regulate Private Funds: SEC RoundupThe judges seemed interested in saving some of the rules even if they vacate others, IAA's Bernstein relays.
February 23, 2024
New SEC Dealer Rule Will Hit Private Funds: SEC RoundupAIMA's Suzan Rose says the rule expands BD registration to entities not traditionally considered as such.
January 09, 2024
Cybersecurity Rule Could Prompt Firms to 'Cry Wolf': SEC RoundupFacebook's former chief security officer explains why the rule may result in premature or inadvertently inaccurate disclosures.