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ARTICLE · 09 JUNE 2023

Top 5 SEC Enforcement Developments For April 2023

Morrison Foerster
Morrison Foerster
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Morrison Foerster

Morrison Foerster

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In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments...

United StatesCorporate/Commercial Law
Jenny Choi
Jenny Choi
Haimavathi V. Marlier
Haimavathi V. Marlier
Michael D. Birnbaum
Michael D. Birnbaum
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In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This month's installment covers:

  • SEC charges against the founder of a now shuttered student loan assistance program in connection with its sale to a large bank;
  • The Supreme Court's ruling regarding the federal government's use of ALJs;
  • SEC charges against crypto asset trading company Bittrex, its CEO, and Bittrex Global for alleged registration violations;
  • SEC charges against a robo-advisor for alleged misstatements and omissions related to its automated tax loss harvesting service; and

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Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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