On November 22, 2024, the Enforcement Division of the SEC published its annual report, which detailed the agency’s enforcement efforts during its 2024 fiscal year (October 2023 through September 2024). At a high level, the Division reported a 26% decline in...
The 2024 SEC Championship Game was at 4 p.m. ET on Saturday, Dec. 7, 2024, on ABC. The game will feature the top two teams in the conference standings — No. 5 Georgia and No. 2 Texas. Previously, the SEC East division winner met the SEC West winner. The divisions were elim...
The Division will continue to focus examinations of municipal advisors on whether they have met their fiduciary duty obligations to municipal entity clients. In the second half of the year, the Division will also focus compliance with new MSRB Rule G-42, which becomes effective on March ...
The 2024 SEC Championship Game was at 4 p.m. ET on Saturday, Dec. 7, 2024, on ABC. The game will feature the top two teams in the conference standings — No. 5 Georgia and No. 2 Texas. Previously, the SEC East division winner met the SEC West winner. The divisions w...
In 2023, the division reportedly conducted sweeps of investment advisers and private funds to gather information about their use of AI, which could be used to consider future guidance or rulemaking.ᵛᶦᶦᶦ The SEC also plans to finalize a rule proposed in July 2023 that is intended to...
The 2025 Exam Priorities[1]are similar to the 2024 priorities in that they reaffirm the Division’s focus on registered investment advisers’ (herein, advisers’) adherence to fiduciary standards and compliance obligations, particularly with respect to newly registered advisers. Similarly, the Division...
“Public companies have a duty to comply with their disclosure obligations regarding executive compensation, including perks and personal benefits, so that investors can make educated investment decisions,” Sanjay Wadhwa, acting director of the SEC’s enforcement division, said in a stateme...
Enforcement:The SEC has the power to investigate and take legal action against individuals and entities that violate securities laws. Through its enforcement division, the SEC conducts investigations, brings civil lawsuits, and pursues criminal charges when necessary. This enforcement activity helps mainta...
LSU 2024 Home Schedule Alabama, Oklahoma, Ole Miss, Vanderbilt LSU Road Schedule Texas A&M, Arkansas, Florida, South Carolina, No Auburn or Miss State as the usual division foes are eliminated along with the divisions. Also on the Tigers schedule in 2024 are USC in Las Vegas, UCLA, Sout...
as whistleblower tips have contributed to enforcement actions resulting in orders requiring bad actors to disgorge more than $4 billion in ill-gotten gains and interest," said Gurbir S. Grewal, director of the SEC’s Division of Enforcement. The awards show "there is a significant incentive for...