SEC’s Division of Examinations Releases 2022 Exam Priorities – Dispute Resolution Again Not on the List
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC’s Division of Examinations (“DOE”) has issued its exam priorities for 2022. Once again,

...Read More

Post Image
Court Imposes Time Limits on SEC “Obey the Law” Injunction and a Bar Against: SEC v. Gentile
on

By David C. Franceski, Jr.

SEC enforcement actions seeking only “obey the law” injunctive relief and similar prospective business conduct bars that serve no retributive or remedial purpose are penal in nature and subject to the five-year statute of limitation of 28 U.S.C.

...Read More

Post Image
SEC Busts Bitcoin Bamboozle: SEC v. Shavers
on

Investments in an online company purporting to trade in bitcoins are securities, and false statements made in online forums regarding the investments violate the Exchange Act and other securities regulations.

...Read More