Sidley Austin LLP is pleased to distribute this issue of the SEC Enforcement Quarterly newsletter. Each quarter, our Securities & Derivatives Enforcement and Regulatory Practice publishes this review of recent developments in securities enforcement and regulatory matters.
In this issue, we feature the following articles:
- SEC Reports Record-Breaking Figures in Enforcement Actions and Monetary Sanctions for Fiscal Year 2014
- SEC Issues Fourth Annual Whistleblower Report, Revealing an 11.8% Increase in Whistleblower Complaints
- Second Circuit’s Decision in Newman Sheds Doubt on the Government’s Recent Approach to Insider Trading Prosecutions
- Recent SEC Staff Changes
- Third Circuit Holds That Predispute Arbitration Agreements Are Not Barred in Dodd-Frank Whistleblower Retaliation Claims
- SEC Broadens the Test for Primary Liability Under the Antifraud Provisions of the Federal Securities Laws
- Supreme Court Justices Express Skepticism About Deference Owed to Government in Section 10(b) Criminal Prosecutions
- Judge Rakoff Criticizes the SEC’s Increased Use of Administrative Proceedings
- SEC Targets Public Company Disclosure Violations in Recent “Broken Windows” Enforcement Action
- SEC Continues Its “Gatekeeper” Enforcement Initiative in Charging Chief Compliance Officer for Firm’s Custody Rule Violations
To receive Sidley updates via email, please click here.
Sidley Austin provides this information as a service to clients and other friends for educational purposes only. It should not be construed or relied on as legal advice or to create a lawyer-client relationship.
Attorney Advertising - For purposes of compliance with New York State Bar rules, our headquarters are Sidley Austin LLP, 787 Seventh Avenue, New York, NY 10019, 212.839.5300; One South Dearborn, Chicago, IL 60603, 312.853.7000; and 1501 K Street, N.W., Washington, D.C. 20005, 202.736.8000.