SEC Enforcement Quarterly Newsletter

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 Monetary Sanctions in Fiscal Year 2013
  • Individual Deferred Prosecution Agreements: Proceed with Caution
  • Court Denies Anti-Retaliation Protections to Foreign Whistleblowers
  • Recent SEC Staff Changes
  • SEC Drops Nearly 20% of Probes Against Individuals After Wells Notices
  • SEC Issues Third Annual Report on its Whistleblower Program
  • New York Regulator Sets Sights on Bitcoin
  • The SEC Suffers a String of Losses in Court
  • ConvergEx Admits Fraud in SEC and DOJ Settlements
  • SEC Releases Guidance on Supervisory Liability of Compliance and Legal Personnel
  • SEC Assesses First-Ever Financial Penalty Against a Municipal Issuer
  • Enforcement Division Forms New Broker-Dealer Task Force
  • FCPA Focus