Despite Fraud Focus, SEC Still Targeting Technical Violations, Law360

Partners Carolyn Welshhans, Ali Rivett, Emily Renshaw, and Kelly Gibson co-authored a Law360 Expert Analysis analyzing recent enforcement trends from the US Securities and Exchange Commission (SEC).

The authors note that although the current administration has made known its commitment to investigating and charging cases based on fraud, the agency has continued to pursue enforcement actions concerning nonfraud-based rule violations. The article reviews recent cases involving investment advisers and broker-dealers, and discusses what these enforcement actions mean for registered entities.

Read the full Law360 article >>