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Category: Rules & Regs

An antacid tablet fizzles in the bottom of a glass of water

Revived SEC Admissions Policy Fizzled in First Year

An antacid tablet fizzles in the bottom of a glass of water

You could be forgiven if you don’t recall an announcement made by a Securities and Exchange Commission official in 2021. A killer virus spreading around the world, a war in Europe, an attempted insurrection in Washington – there has been a...

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Railway signals in the middle of railroad tracks, symbolizing insider trading

Feds Issue First Indictment Related to 10b5-1 Plans

Railway signals in the middle of railroad tracks, symbolizing insider trading

After months of signaling a crackdown was coming, the federal government has broken new ground by issuing its first indictment against an executive, based solely on the use of so-called 10b5-1 plans. A quick refresher: Rule 10b5-1 of the Se...

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Businessman staring at an image painted on a wall of a large fish about to eat a smaller fish

Securities Class Action Settlements Hit 15-Year High in 2022

Businessman staring at an image painted on a wall of a large fish about to eat a smaller fish

Securities class action lawyers appear to have had a banner year in 2022, according to a new report. Data from economic and financial consulting firm Cornerstone Research indicates that settlements in securities class action cases hit a 15-...

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Ripple Case Headlines Latest Developments in Crypto Regulation

Circular ripples from a drop of water in a pool

An impending court decision in the Securities and Exchange Commission’s lawsuit against San Francisco-based crypto solutions company, Ripple, stands to make a big splash in the cryptocurrency sector. The SEC filed its legal action against R...

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Four New SEC Examination Priorities to Spice Up 2023!

An outdoor produce market with hanging bunches of chilies

If you’re familiar with annual previews from government agencies, you know they’re about as exciting as an instruction manual. They generally follow a boilerplate format that includes familiar discussions of how their plans for the coming y...

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