Topic
Enforcement
987 published works
The SEC Institute Blog
Enforcement Division 2024 Results
On November 22, 2024, the SEC published a summary of the Enforcement Division’s fiscal-year 2024 results. As it has in prior years, the results were published in a Press Release…
SEC Actions
This Week In Securities Litigation (Week of December 16, 2024)
Last week the Commission filed several of new enforcement actions. Those cases included actions based on false statements, microcap fraud, an offering fraud and a sham transaction. In addition, the…
GovCon & Trade
International Trade Enforcement Roundup – November 2024
You are reading the November 2024 Update of the Bass, Berry & Sims Enforcement Roundup, where we bring notable enforcement actions, policy changes, interesting news articles, and a bit of…
Consumer Finance Monitor
CFPB to hold two virtual sessions to answer questions about Nonbank Registry Rule
By Richard J. Andreano, Jr., John L. Culhane, Jr., Reid F. Herlihy
The CFPB will hold two virtual sessions later this month to answer questions about its Nonbank Enforcement Action Registry rule. The rule, issued in June 2024, will require certain nonbank…
Federal Regulatory & Enforcement Insider
SEC Enforcement Highlights for Fiscal Year 2024
By Brooke Conner, Rachel Copenhaver, Junaid A. Zubairi, Nitya Bhardwaj, Eric Hyla
On November 22, 2024, the Securities and Exchange Commission (the “SEC” or “Commission”) announced its enforcement results for the fiscal year (“FY”) 2024. Though the SEC filed only 583 total…
The D&O Diary
SEC’s FY 2024 Enforcement Activity Declined While Total Financial Remedies Surged
In recent days, SEC observers have speculated about who the new head of the agency will be in the incoming Trump Administration and what the new leadership might mean for…
Global Financial Regulatory Blog
FCA Publishes Revised Proposals for Announcing Enforcement Investigations
The regulator has significantly rowed back on aspects of the proposals following industry and government feedback. By Andrea Monks, Rob Moulton, Nell Perks, Anna James, and Charlotte Collins On 28…
Cleary Enforcement Watch
SEC FY 2024 Enforcement Results: Record Dollars But Many Fewer Cases
By Robin M. Bergen, Matthew C. Solomon, Tom Bednar, Jackie M. Brune, Jordan Michael Christian, Emily N. Janikowski
On November 22, the Securities and Exchange Commission announced its enforcement results for the 2024 fiscal year with a record $8.2 billion in financial remedies.[1] At the same time, a…
The Securities Law Blog
SEC Announces Enforcement Results for Fiscal Year 2024
The Securities and Exchange Commission today announced that it filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount…
The CLS Blue Sky Blog
SEC Acting Enforcement Chief Speaks on Protecting Investors and Promoting Compliance
I’d like to take the opportunity today to reflect on some of the goals and intentions that then-Director Gurbir Grewal and I, as his deputy, discussed when we assumed leadership…