Topic
Enforcement
988 published works
FCPA Professor
From Where Does This Sh*t Originate?
By Mike Koehler
In reference to the SEC’s recently released annual report for enforcement results for fiscal year 2023 (see here for the prior post) this headline by a for profit media company which…
The D&O Diary
SEC Stats Show the Agency is an Active Enforcement Cop
The SEC has been an active cop on the beat, as reflected in its recently released Enforcement Division statistics for the 2023 fiscal year, ended September 30, 2023. Both the…
The Securities Law Blog
SEC Announces Enforcement Results for Fiscal Year 2023
The Securities and Exchange Commission today announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or…
Employment Law Lookout
Federal Government Shutdown Would Significantly Impact United States Department of Labor Enforcement Activities
By Adam R. Young, A. Scott Hecker, Patrick D. Joyce, Daniel R. Birnbaum and Craig B. Simonsen Seyfarth Synopsis: Here we go again. The impending federal government shutdown may suspend many enforcement and consultation functions of the…
The CLS Blue Sky Blog
SEC Commissioner Speaks on Using Enforcement Actions to Set Regulatory Policy
Good morning and thank you, Jim [Burns], for that introduction. I am pleased to be part of the 2023 conference on SEC Regulation Outside the United States to deliver the…
The SEC Institute Blog
Self-Reporting to and Cooperation with Enforcement Do Make a Difference
On September 25, 2023, the SEC announced a settled enforcement action against GTT Communications, Inc. GTT grew rapidly, primarily through acquisitions. This growth created challenges and disruption that eventually resulted…
Nonprofit Law Prof Blog
NASCO’s Latest Report on State Enforcement & Regulation
The National Association of State Charity Officials (NASCO) has issued its latest Annual Report on State Enforcement and Regulation covering September 2022 thru September 2023. The report does not attempt to…
The Nickel Report
New Report Suggests DOJ to Continue Actively Pursuing Environmental Justice-Focused Enforcement Actions
By Kerry L. McGrath, Erin Grisby, Jaclyn Lee, Charles H. Knauss
On October 13, 2023, the US Department of Justice (DOJ) published its first annual report detailing the implementation of its Comprehensive Environmental Justice Enforcement Strategy (EJ Strategy). As we reported,…
Government Contracts & Investigations Blog
Second Circuit Reins in SEC Disgorgement Powers
By Christopher Bosch, Lucas Amodio
In Securities & Exchange Commission v. Govil, No. 22-1658, 2023 WL 7137291 (2d Cir. Oct. 31, 2023), the United States Court of Appeals for the Second Circuit dealt a setback to the enforcement…
FCPA Professor
A Most Interesting Internal Controls Theory Of Enforcement
By Mike Koehler
Recently, the SEC filed a lengthy civil complaint against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy Brown, for fraud and internal control failures relating to…