Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Enforcement Division

SEC Targets Lapses in Ownership Reporting in Battles for Corporate Control
By Steve Quinlivan on

SEC Busts Apollo for Disclosure and Supervisory Failures
By Steve Quinlivan on

SEC Charges Private Equity Advisor for Acting as an Unregistered Broker
By Steve Quinlivan on

SEC Gives Board Chair a DPA for Failing to Correct Press Releases
By Steve Quinlivan on

Crowdfunders and Crowdfunding Service Providers Beware
By Steve Quinlivan on

SEC Nabs Private Equity Sponsor for Conflicting Investments
By Steve Quinlivan on

“Recidivist” Custody Rule Violators Settle SEC Charges
By Steve Quinlivan on

SEC Says Self-Reporting Required for Deferred Prosecution or Non-Prosecution Agreement
By Steve Quinlivan on

SEC Charges Private Equity Sponsor for Failure to Disclose Conflicted Transactions
By Steve Quinlivan on