Topic
Enforcement
988 published works
FCPA Professor
SEC Commissioner Peirce Unleashes On The SEC’s Neither Admit Nor Deny Settlement Policy
By Mike Koehler
Numerous prior posts (see here for the subject matter tag) have focused on the SEC’s neither admit nor deny settlement policy (the so-called “Gag Rule”). In the FCPA’s modern era, nearly all…
Global Regulation Tomorrow
New briefing note: FRC enforcement – five key themes for 2024
By Katie Stephen (UK), David Harris (UK)
With a record number of enforcement cases resolved in recent years, the Financial Reporting Council (FRC) is continuing to show its determination to hold firms and individuals to account for…
GovCon & Trade
International Trade Enforcement Roundup – December 2023 Update
You are reading the December 2023 Update of the Bass, Berry & Sims Enforcement Roundup, where we bring notable enforcement actions, policy changes, interesting news articles, and a bit of our insight…
SEC Actions
This Week In Securities Litigation (Week of January 8, 2024)
Through the holidays the filing of new enforcement actions slowed. Similarly, the filing of new rule making projects slowed. With the end of that period look for increased enforcement activities…
SEC Actions
This Week In Securities Litigation (Week of January 3, 2024)
As the year drew to a close the Commission continued to file enforcement actions. Specifically, the agency filed actions centered on a misappropriation, policies and procedures and an offering frauds.…
Regulatory Oversight
FDA Maintains Heightened Enforcement Against Sellers of Illegal E-Cigarettes
By Bryan Haynes, Agustin Rodriguez, Michael Jordan, Zie Alere
In December, the U.S. Food and Drug Administration (FDA) issued warning letters to online retailers for reportedly selling unauthorized e-cigarette products. Consistent with the Center for Tobacco Products' (CTP) recent…
FCPA Professor
Freepoint Commodities Resolves Enforcement Action
By Mike Koehler
The CLS Blue Sky Blog
Debevoise Discusses SEC’s Division of Enforcement Year-End Results
By Kara Brockmeyer, Andrew Ceresney, Robert Kaplan, Julie Riewe, Mary Jo White
On November 14, 2023, the U.S. Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement (“Division”) announced its enforcement results for fiscal year (“FY”) 2023.[1] Disgorgement and penalties were…
Federal Regulatory & Enforcement Insider
SEC Releases Enforcement Highlights for Fiscal Year 2023
By Brooke Conner, Rachel Copenhaver, Junaid A. Zubairi, Nitya Bhardwaj
On November 14, 2023, the Securities and Exchange Commission (the “SEC” or the “Commission”) announced its enforcement results for fiscal year (“FY”) 2023, which ended on September 30, 2023. The…
The SEC Institute Blog
Enforcement Division Announces 2023 Results
On November 14, 2023, the Division of Enforcement announced its 2023 results in this Press Release and related Addendum. According to the Press Release, the Division of Enforcement: Brought 784…