By Bruce Carton2015-10-05T09:45:00
The U.S. Supreme Court has specifically included the landmark insider-trading case of U.S. v. Newman on a lengthy list of cases in which the Court denied certiorari (will not hear on appeal). The Court’s refusal to hear the case means that Newman will continue to pose a major, often insurmountable ...
2015-10-20T14:45:00Z By Joe Mont
Image: A chronic dilemma for the SEC Enforcement Division is how best to focus its efforts given resource constraints. Enforcement Director Andrew Ceresney had to answer for how those decisions are made during a meeting of the Investment Advisory Committee last week. Despite calls to abolish the “broken windows” approach, ...
2025-12-05T19:25:00Z By Oscar Gonzalez
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
2025-12-03T17:18:00Z By Adrianne Appel
A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.
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