Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.

On January 13, 2025, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against twelve firms for recordkeeping ...

The U.S. Securities and Exchange Commission (SEC) saw a 30% decline in crypto-related enforcement actions during the final ...

The Securities and Exchange Commission brought a record number of enforcement filings in the first quarter of fiscal year ...

President Trump issued an executive order entitled “Strengthening American Leadership in Digital Financial Technology,” ...

The avalanche of cases announced Friday included charges against a no-longer registered advisor and firm accused of misappropriating more than $20 million from clients.

The US Securities and Exchange Commission’s crypto-related enforcement actions dropped by 30% in the last year under former ...

"Materially accurate information about capital gains and tax implications is critical to investors saving for their ...

Senator Cynthia Lummis said an appellate court ”urgently needed” to establish a legal standard as to whether cryptocurrencies ...

Kristi Noem and other officials said they conducted enforcement actions on Tuesday morning at at least two locations.

As a federal lawsuit against the SEC explains, NFTs are digital tokens stored on a blockchain that "can give the owner a wide ...