Topic
Enforcement
987 published works
Compliance Building
Increased SEC Enforcement?
The annual number of enforcement actions by the Securities and Exchange Commission decreased each year during the Trump administration. Starting at the high of 1,063 in 2016 and dropping to…
The CLS Blue Sky Blog
Wachtell Lipton Discusses White-Collar and Regulatory Enforcement: What Mattered in 2020 and What to Expect in 2021
By John F. Savarese, Ralph M. Levene, Wayne M. Carlin, David B. Anders, Sarah K. Eddy
As we write this memorandum, a new administration is forming in Washington, with new leadership teams being nominated at DOJ, SEC, CFTC and other regulatory and law-enforcement agencies — thus…
Consumer products law blog
FDA presses pause on CBD enforcement guidance—for now
By Mark Faccenda (US), Will Troutman (US)
In the dawn of the new administration, the U.S. Food and Drug Administration (FDA) withdrew its “Cannabidiol Enforcement Policy,” a document that stakeholders had hoped would deliver long-overdue guidance on…
Consumer Financial Services Review
UDAAP Roundup 2020: Year in Review
By Ori Lev, Anjali Garg
From a new Policy Statement on Abusiveness to the use of novel deception claims in public enforcement actions, 2020 was an active year in the application of the prohibition on…
Employment & Labor
EEOC Update: The Commission Releases Its FY 2020 Litigation Performance Report Card
By: Gerald L. Maatman, Jr., Christopher DeGroff, Matthew J. Gagnon, and Alex S. Oxyer Seyfarth Synopsis: On January 19, 2020, the EEOC released its second-ever Annual Performance Report (“APR”) for Fiscal…
Rivkin Rounds
HHS Rule Blocks Enforcement Actions Based Solely on Guidance
By Eric Fader
On January 12, the U.S. Department of Health and Human Services (HHS) released a final rule on “Transparency and Fairness in Civil Administrative Enforcement Actions.” The rule, which was effective immediately, states…
Ad Law Access
Biden Taps Rohit Chopra, Current FTC Commissioner and Vocal Proponent of Aggressive Enforcement, to Lead CFPB
By Alysa Z. Hutnik, Donnelly McDowell
Things are about to change dramatically at the CFPB. President-elect Joe Biden today nominated Rohit Chopra, a current commissioner at the Federal Trade Commission and long-time proponent of aggressive enforcement,…
Compliance Building
Division of Examination
Goodbye Office of Compliance Inspections and Examinations. Hello Division of Examination. The Securities and Exchange Commission decided that OCIE, with 23% of the SEC employees, is probably more than an…
SEC Actions
This Week In Securities Litigation (Week of January 4, 2021)
Jake Stillman who faithfully served the Commission for 55 years, passed away last week. Jake was a mainstay of the General Counsel’s office, briefing and arguing dozens of cases for…
SEC Actions
This Week In Securities Litigation (Week of December 21, 2020)
The exit from the Commission continued this week with the resignation of the Director of Trading and Markets. By year end much of the senior staff, along with the Commission…