Since 1972, the SEC has prohibited defendants who settle civil enforcement actions with the SEC without admitting or denying wrongdoing from later publicly “denying the allegations in the complaint” ...

On September 26, 2025, Securities and Exchange Commission (“SEC” or the “Commission”) Chairman Paul Atkins issued a Statement on Simultaneous Commission Consideration of Settlement Offers and Related ...

The panel discusses the evolving landscape of the SEC's enforcement practices, highlighting significant influences from recent Supreme Court rulings and increased legal challenges. These rulings have ...

The dispute will shape a panoply of SEC cases in which victims aren’t easy to pinpoint, from low-profile record-keeping ...

Spring practice is already underway or will soon start for all 16 teams in the SEC for the 2026 college football season. Although it's tough to get an accurate or in-depth read on teams from practices ...

Effective SEC testimony relies on strategic client involvement, clear communication, and thorough preparation to navigate the complexities of legal investigations. Clients must be actively involved in ...

You can listen to this and other episodes of the Big Picture in Practice podcast by Morningstar on all major streaming platforms. You can keep up with the latest episodes by subscribing to our Big ...

What RIAs need to avoid in the coming year is a failure to communicate. At least if they are seeking to stay the cool hand of the SEC, that is. In light of recent regulations, the highest SEC priority ...