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