Turning the Page: Highlights of the SEC’s Division of Examination’s 2021 Priorities

March 8, 2021

Priorities, Trends and Developments in Enforcement and Compliance

January 20, 2021

SEC Adopts New Marketing Rule for Investment Advisers

December 30, 2020

SEC Brings Enforcement Action Against Global Brokerage Company, Finding False and Misleading Statements In Connection With Non-GAAP Financial Measures

November 9, 2020

From Government Shutdown to COVID-19: SEC Enforcement Division Releases Final Chapter of Jay Clayton-led SEC

November 9, 2020

Despite Disagreements, SEC Commissioners Emphasize Need for Clear Disclosure by ESG Funds

September 24, 2020

Despite Disagreements, SEC Commissioners Emphasize Need for Clear Disclosure by ESG Funds

September 24, 2020

CFTC Division of Enforcement Releases Guidance on Evaluating Compliance Programs

September 15, 2020

Supreme Court Upholds, with Limits, the SEC’s Authority to Seek Disgorgement

June 25, 2020

SEC Chief Accountant Weighs in on Accounting Issues During the COVID-19 Outbreak

April 9, 2020