Topic
sec enforcement
256 published works
The CLS Blue Sky Blog
A Tale of Two Enforcement Venues: Why the SEC’s Choice of Where to File Cases Matters
By Xin Zheng
The Dodd-Frank Act of 2010 allows the Securities and Exchange Commission (SEC) to bring enforcement actions and impose civil penalties in administrative proceedings as alternatives to federal district courts. Some…
The D&O Diary
SEC Public Company Enforcement Actions Decreased in FY 2020, But Recoveries Increased
As I noted at the time, earlier this month the SEC released its enforcement activity report for the fiscal year ending September 30, 2020. While the report fully detailed the…
SEC Actions
SEC Enforcement Statistics: The Cornerstone – NYU Report
Cornerstone Research, in conjunction with the NYU Pollack Center for Law and Business, published its annual report on select SEC enforcement statistics (here). Specifically, the Report centers on SEC enforcement…
White Collar Law & Investigations
SEC Enforcement Releases Its Annual Report: Filed Cases Down But Agency Obtains Record Monetary Relief
By John Murray
On November 2, 2020, the SEC’s Division of Enforcement issued its Annual Report for fiscal year 2020. The Report provides a useful look at Enforcement’s accomplishments, priorities, and challenges over…
SEC Actions
This Week In Securities Litigation (Week of November16, 2020)
The speculation is on. When will Jay Clayton leave his position as Chair of the SEC? By January 20, 2021 is the obvious answer. Many think that Mr. Clayton may…
Free Writings + Perspectives
SEC Enforcement Annual Report FY2020: Key Takeaways and Trends
By Marlon Paz, Kyle P. Swan, Richard M. Rosenfeld, Daniel Stein, Matthew Rossi
On November 2, 2020, the U.S. Securities and Exchange Commission (“SEC”) Division of Enforcement staff published its annual enforcement report for fiscal year 2020. This has been an unprecedented year,…
The D&O Diary
What Does the Biden Victory Mean for the SEC?
Now that the Presidential election has been called for Joe Biden, it is time to start asking what a Biden Presidency may mean, including in particular what SEC enforcement and…
SEC Actions
This Week In Securities Litigation (Week of November 9, 2020)
The search for a new SEC Chair is likely to begin, now that a new President has been elected. While the President-elect and his team undoubtedly have more than enough…
The D&O Diary
Despite COVID-19 Disruptions, SEC Recoveries at Record Levels in FY 2020
Fines and other recoveries in SEC enforcement action hit record levels during the agency’s fiscal year ended September 30, 2020, even as pandemic-related work closures dampened the number of enforcement…
SEC Actions
This Week In Securities Litigation (Week of November 2, 2020)
With the election on Tuesday, a key question is the aftermath. Even if the current administration prevails there will be changes. Rumors have swirled that the Commission’s Chairman will return…