Securities & Regulatory Enforcement
The SEC’s Elimination of the “No Deny” Rule: The Good, The Bad, and The Ugly
SEC drops “no-deny” settlement rule, letting defendants publicly dispute allegations after settling enforcement actions.
May 28, 2026
Company Sources of Information
Do you wonder how the government receives information that leads it to open an investigation? Good question. An investigation may […]
January 23, 2024
Auditors’ Section 10A Reporting Obligation
"Likely" illegal acts Section 10A of the U.S. Securities Exchange Act of 1934 requires that an auditor report to the […]
January 23, 2024
Phases of an SEC Investigation
SEC investigations begin and are tracked, completed, resolved, and ultimately closed in accordance with the SEC's processes and procedures. Accordingly, […]
December 19, 2023