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Latest News
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“Long Island Iced Tea” insider trading case survives dismissal motion
Defendant Eric J Watson argued that service of process was insufficient and brought counterclaims seeking damages against the SEC.
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SEC says former CCO modified records pertaining to agency examination
Ballek did not admit wrongdoing in connection with the regulator's claims she modified company records that were part of an SEC examination.
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SEC charges American Portfolios Advisors for misleading disclosures and falsified records
A routine SEC exam exposed backdated documents, hidden fee markups, and executive complicity.
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Prominent Georgia Republican charged with $140m investment fraud by SEC
The case highlights the dangers of investment fraud involving purported “bridge loans.”
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ESG corner: GHG standards, EPA employees placed on leave for critical letter, and more
The latest ESG rollbacks are here, but keep in mind a few considerations involving states, other nations and shareholder priorities.
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Decrypting the dialogue – the SEC’s statements during crypto roundtables
Roundtables on tokenization, custody, DeFi, trading, and classification offered early indicators of regulatory intent.
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SEC to focus on navigating risk, reform, and retail protection in 2026
SEC targets protection of retail investors amid rising complexity in crypto, private markets, and foreign-linked disclosures.
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SEC issues statement on crypto asset exchange-traded products
SEC's observations regarding disclosure practices following reviews of crypto asset ETP filings.