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Articles by Alyse Rivett
Securities Enforcement Roundup - August 2026 | JD Supra
In August 2026: The US Securities and Exchange Commission (SEC or the Commission) established a specialized Financial Reporting and Accounting Unit, underscoring the Commission's continued focus on accounting, auditing, internal controls, and financial reporting misconduct. The SEC and the US Food and Drug Administration (FDA) entered a three-year information-sharing arrangement, providing the SEC with more streamlined access to nonpublic FDA-related information.
Securities Enforcement Roundup – May 2025 | JD Supra
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from May 2025. In May 2025: More ongoing developments in the crypto enforcement area at the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
Securities Enforcement Roundup – February 2025 | JD Supra
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from February 2025. In February 2025: The US Securities and Exchange Commission (SEC) announced a new Cyber and Emerging Technologies Unit (designed to complement its Crypto Task Force) amid decreasing crypto-related enforcement actions.
Securities Enforcement Roundup - February 2025
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from February 2025. In February 2025: The US Securities and Exchange Commission (SEC) announced a new Cyber and Emerging Technologies Unit (designed to complement its Crypto Task Force) amid decreasing crypto-related enforcement actions.
Securities Enforcement Roundup – November 2024 | JD Supra
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from November 2024. In November 2024: The US Court of Appeals for the DC Circuit issued a decision in the closely watched Alpine Securities Corp. v. FINRA case. Largely sidestepping the constitutional issues that have received significant industry attention, the DC Circuit reversed the district court’s denial of Alpine’s request for a preliminary injunction on narrow grounds.
Securities Enforcement Roundup - August 2024
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from August 2024. In August 2024: The SEC announced its latest round of “off-channel communications” settlements, with over 20 broker-dealers, investment advisers, and dually registered firms agreeing to pay several hundred millions in combined civil penalties to settle recordkeeping violations; A district court issued the remedies order in SEC v.
Securities Enforcement Roundup – July 2024 | JD Supra
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from last month. In July 2024: A district court dismissed several of the SEC’s claims against SolarWinds Corp. and its CISO arising from the company’s disclosures about its cybersecurity practices. A FINRA-registered broker alleged in federal court that FINRA’s disciplinary proceeding against him was unconstitutional in light of the Supreme Court’s ruling in Jarkesy.
SEC Charges Investment Advisers with Making False and Misleading Statements About Their Use of AI
On March 18, the US Securities and Exchange Commission (SEC) announced the first AI-related settled actions against two investment advisers—Delphia (USA) Inc. and Global Predictions Inc.—for making false and misleading statements about their purported use of artificial intelligence (AI), a practice the SEC refers to as “AI washing.” The advisers were also charged with violating the Marketing Rule under the Investment Advisers Act of 1940 (the Advisers Act).
Current Developments in SEC Enforcement for Public Companies 2024
CSUERRCENTEDNEVFELOOPRMECNTES MIN ENT FOR PUBLIC COMPANIES 2024 REPORT www.morganlewis.com 2024 Morgan Lewis | Morgan, Lewis & Bockius LLP, a Pennsylvania limited liability partnership 1 CURRENT DEVELOPMENTS IN SEC ENFORCEMENT FOR PUBLIC COMPANIES 2024 AUTHORS KELLY L. GIBSON kelly.gibson@ morganlewis.com +1.215.963.5121 +1.212.309.6287 Co-Leader, Securities Enforcement Practice G.
SEC Adopts Rules on Mandatory Cybersecurity Disclosures
The US Securities and Exchange Commission (SEC) adopted on July 26, 2023 final rules and amendments for mandating disclosure regarding cybersecurity risk management, strategy, governance, and incident reporting, including amendments to Forms 8-K, 6-K, 10-K, and 20-F.
US Government Continues to Crack Down on Insider Trading with Four Coordinated Actions
The US Securities and Exchange Commission (SEC) and Department of Justice (DOJ) on June 29, 2023 brought insider trading charges against several defendants in four proceedings. The insider trading cases demonstrate key focus areas for the DOJ and the SEC’s Division of Enforcement: insider trading, data analytics, and the use of sweeps and holding gatekeepers responsible.
Current developments in SEC and FINRA examinations & enforcement: a special report for investment advisers and broker-dealers
USA March 1 2023 Registered entities continued to be a significant focus of the US Securities and Exchange Commission’s (SEC’s or Commission’s) enforcement and rulemaking programs in 2022, and we expect similar attention this year.
SEC Releases Draft Strategic Plan for Fiscal Years 2022 to 2026 | JD Supra
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. The Strategic Plan sets forth the following three key goals for the Securities and Exchange Commission (SEC): Protect working families against fraud, manipulation, and misconduct. Develop and implement a robust regulatory framework that keeps pace with evolving markets, business models, and technologies.
SEC Enforcement Division: COVID-19-Related Enforcement Matters and What Lies Ahead | JD Supra
In a recent keynote speech, Co-Director of the US Securities and Exchange Commission’s Division of Enforcement Steven Peikin made it clear that the Division has made coronavirus (COVID-19) related enforcement matters a top priority and is dedicating significant time and resources to respond to such issues.
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