U.S. Supreme Court Limits SEC’s Disgorgement Power
On June 22, 2020, the U.S. Supreme Court in Liu v. SEC upheld the SEC’s ability to obtain disgorgement under 15 U.S.C. § 78u(d)(5),...
Colorado Appeals Court Holds that Williamson Presumption Applies to General Partnership Interests
A panel of the Colorado Court of Appeals today held that, contrary to a prior panel’s holdings, the Williamson “presumption” that a...
SEC Publishes Cybersecurity and Resiliency Observations
The SEC’s Office of Compliance Inspections and Examinations (OCIE) yesterday published its Cybersecurity and Resiliency Observations....
SEC Announces 2020 Examination Priorities
The SEC’s Office of Compliance Inspections and Examinations (OCIE) this week published its 2020 Examination Priorities. They...