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SEC reinstates simultaneous consideration of enforcement settlements and waiver requests

By Ryan Meltzer (US), Kevin J. Harnisch (US) & Charles Garcia (US) on September 30, 2025

On September 26, 2025, the Securities and Exchange Commission (SEC) reinstated its 2019 policy of simultaneously considering offers to settle enforcement actions and requests for waivers of collateral consequences of those actions, reversing a 2021 shift that had…

SEC ruling on The DAO signals increased acceptance of blockchain-based securities

Posted on August 11, 2017

On July 25, 2017, the Securities and Exchange Commission (SEC) issued a statement on the regulatory significance of offers and sales of digital assets carried out using distributed ledger or blockchain technology. That statement followed the SEC’s Report…

Only 61% of issuers address cyber security in their risk factor disclosure. Is your company one of them?

Posted on March 13, 2017

Earlier this year, the Canadian Securities Administrators (CSA) released the results of a review of the disclosure of 240 issuers in the S&P/TSX composite index on cyber security issues. The review found that only 61% of issuers addressed…

Securities Litigation and Enforcement Blog

Securities and Exchange Commission

SEC reinstates simultaneous consideration of enforcement settlements and waiver requests

SEC ruling on The DAO signals increased acceptance of blockchain-based securities

Only 61% of issuers address cyber security in their risk factor disclosure. Is your company one of them?

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