SEC Roundup &
Capital Ideas

SEC Roundup 68: NFT Artists Sue SEC

SEC Roundup 67: Supreme Court Opinion and Criminal Trial Shake Up Insider Trading and 10b5-1 Plans

SEC Roundup 66: Jarkesy and the Critical Importance of Juries in SEC Proceedings

SEC Roundup 65:Eye-Watering Texting Fines Need Transparency

SEC Roundup 64: Court Adopts SEC's Expansive View of "Dealer"

SEC Roundup 63: Repeal of SEC Staff Accounting Bulletin 121

SEC Roundup 62: Can the SEC Sue Computer Code?

SEC Roundup 61: Double Jeopardy with SEC Professional Bars

SEC Roundup 60: Court Tackles SEC Authority to Regulate Private Funds

SEC Roundup 59: New SEC Dealer Rule Will Hit Private Funds

SEC Roundup 58: John Deaton on Coinbase and Binance SEC Hearings

SEC Roundup 57: Judge Says 1st Amendment May Prohibit Compelled IA/BD ESG Speech

SEC Roundup 56: SEC Cyber Rule May Cause Companies to Cry Wolf

SEC Roundup 55: SEC Lied, Court Threatens Sanctions

SEC Roundup 54: Expert Panel on Enforcement's FY2023 Cases

SEC Roundup 53: Pop Culture and the SBF Trial

SEC Roundup 52: Should More IAs and BDs Fight the SEC?

SEC Roundup 51: SEC May Drag Unicorns Into Public Markets

SEC Roundup 50: Private Funds Rules Hit With Court Action

SEC Roundup 49: Why did the SEC Punt on Saying Whether $2 Trillion Market Involves Securities?