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 to Employ Little-Known Tool to Hold Individuals Accountable
  • Ceresney Says SEC Will Take Hard-Line Approach in Applying New Settlement Policy
  • SEC Announces Fraud Charges Against Three Individuals and a Deferred Prosecution Agreement with Regions Financial Corp.
  • Second Circuit Vacates Judge Rakoff's Rejection of SEC-Citi Settlement
  • Recent SEC Staff Changes
  • SEC Forms Private Fund Unit to Focus on Private Equity and Hedge Funds
  • SEC Enters into First Non-Prosecution Agreement with an Individual
  • FCPA Focus