“Recidivist” Custody Rule Violators Settle SEC Charges
SEC Says Self-Reporting Required for Deferred Prosecution or Non-Prosecution Agreement
En Banc Rehearing of Conflict Minerals Case Denied
SEC Charges Private Equity Sponsor for Failure to Disclose Conflicted Transactions
SEC Says there are (Almost) No Excuses for Late Whistleblowers
Portfolio Monitoring and Legal Fees Subject to SEC Enforcement Action Against Private Equity Group
Conflicts Minerals Quagmire to Continue as En Banc Rehearing Requested
SEC Tells Court It Will Implement Resource Extraction Rules in 270 Days
