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Broken Windows: SEC Commissioner Hester M. Peirce’s Remarks before the 51st Annual Institute on Securities Regulation

Last week, U.S. Securities and Exchange Commission (SEC) Commissioner Hester M. Peirce, delivered a speech providing recommendations on how to…

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SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community Including his Family and Friends

Last week, the U.S. Securities and Exchange Commission’s (SEC) issued a press release to announce that it filed a complaint…

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SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints

Last week, the U.S. Securities and Exchange Commission’s (SEC) issued a press release to announce that it filed an amended…

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SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019

Earlier this week, the U.S. Securities and Exchange Commission (SEC) Division of Enforcement published its Annual Report for First Year…

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The U.S. Supreme Court may revoke the SEC’s Disgorgement Power in Liu v. SEC

What legal issue will the U.S. Supreme Court decide in Liu v. SEC? The U.S. Supreme Court (SCOTUS) granted cert…

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The SEC Can More Strategically and Securely Plan, Manage, and Implement Cloud Computing Services

Why did the SEC perform this Audit? The Office of Inspector General (OIG) of the U.S. Securities and Exchange Commission…

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