At the trial of a Citigroup executive a year ago, Matthew Martens attended as a spectator and watched the defense win jurors over with the “Where’s Waldo” argument. The jury cleared Brian Stoker of ...

These and other questions illustrate why complying with the U.S. Securities and Exchange Commission’s (SEC/Commission) amended Cybersecurity Disclosure Rule—which was formally adopted one year ago and ...

NewYork(Thomson Reuters Regulatory Intelligence) - Corporate executives who feel left behind or simply lack time to build a Twitter following must have experienced a bit of schadenfreude when Tesla ...

The revolving door between the U.S. cryptocurrency industry and Wall Street’s top cop has been particularly active this year — a trend that one former SEC lawyer who now defends crypto clients in the ...

Costly Mistakes Last week, Transamerica settled SEC charges against its funds by agreeing to pay $97.6 million in refunds, interest, and penalties. That is among the pricier SEC sanctions in recent ...

Since enacting the Securities Exchange Act in 1934, Congress has repeatedly expanded the arsenal of the SEC to protect investors through enforcement actions. As a result, the SEC—though constrained by ...