SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
Action Required: Review internal enforcement response protocols and consult with legal counsel regarding how this policy shift impacts potential settlement strategies.
The SEC has rescinded a policy (Rule 202.5(e)) that previously required defendants to admit or deny allegations in settlements involving sanctions. This change signals a shift in the SEC's enforcement strategy, potentially altering how firms approach settlement negotiations and risk management regarding regulatory enforcement actions.
Read full article at sec-pressWant the full daily Briefing?
30 stories like this every day, with Action Required call-outs and direct lines to ask Aria — finsay's AI compliance assistant.
Try free for 14 daysRelated stories
- SEC Announces Roundtable on Preparations for 24-Hour Trading
The SEC is hosting a roundtable on September 17, 2026, to explore the infrastructure and operational requirements for transitioning to 24-ho…
- SEC Proposes E-Delivery as Default
The SEC has proposed a rule to make electronic delivery the default standard for client communications, moving away from paper-based deliver…
- SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors
The SEC has proposed 'Regulation E-Delivery,' a new rule designed to modernize how issuers and investment advisers deliver required disclosu…