Topic
Enforcement
988 published works
ImmigrationProf Blog
Enforcement Overdrive: A Comprehensive Assessment of ICE’s “Criminal Alien Program”
The American Immigration Council today released Enforcement Overdrive: A Comprehensive Assessment of ICE’s "Criminal Alien Program" by Guillermo Cantor, Ph.D., Mark Noferi, Esq., and Daniel Martinez, Ph.D. The Criminal Alien…
Subject to Inquiry
FY2015 SEC Enforcement Report
By Molly M. White, Louis D. Greenstein, McGuireWoods LLP
Late last week, the Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2015, reporting a record number of enforcement actions and the highest amount of fines…
CommLaw Monitor
Performance Review Time: Congress Requests GAO Audit of Enforcement Bureau Management
By Kelley Drye
Members of the House Subcommittee on Communications and Technology (Committee) issued a letter late last week requesting that the Government Accountability Office (GAO) conduct an audit of the FCC’s Enforcement…
Financial Services Observer
SEC Enforcement Actions Up in 2015
By John K. Wells, Aimee Wildstone
The SEC has announced its enforcement results for fiscal year 2015, which ended in September. Enforcement filings for 2015 were up nearly 7% over the previous year. The SEC filed…
The D&O Diary
SEC Files Record Number of Independent Enforcement Actions in Fiscal 2015
According to the agency’s recently released enforcement activity statics, the SEC’s overall enforcement activity and the number of independent enforcement actions both increased in the fiscal year 2015 (which just…
Banking, Finance and Securities
SEC Provides Enforcement Overview for 2015 Fiscal Year
The SEC provided an overview of significant actions that were brought by the SEC’s Division of Enforcement in 2015. The SEC filed 807 enforcement actions in the 2015 fiscal year…
Broadcast Law Blog
The Limits on FCC Leniency on Fines for Noncommercial Broadcast Stations
In a decision released last Friday, the FCC made clear how far it is willing to go in extending to noncommercial stations leniency for fines for violations of its rules.…
Subject to Inquiry
SEC Enforcement Continues to Pursue Hedge Fund Advisers
By Government Investigations Group
The SEC continues to pursue enforcement actions against hedge fund managers for alleged self-dealing, undisclosed conflicts of interest, and valuation issues. As we’ve previously reported (here and here), the SEC…
Broker- Dealer Law Corner
Nobody’s Perfect (And Even FINRA Finally Acknowledged It)
Fans of this blog (or, at least, readers of this blog who are fans of Jeopardy) will no doubt remember Alan’s prior post, published a few weeks ago, and discussing…
Securities Law Prof Blog
Velikonja on SEC Enforcement
Urska Velikonja has posted Reporting Agency Performance: Behind the SEC's Enforcement Statistics on SSRN with the following abstract:Every October, after the end of its fiscal year, the Securities and Exchange Commission…