Topic
sec enforcement
251 published works
Global Investigations & Compliance Review
SEC v. Jarkesy: Possible Implications for the SEC’s FCPA Enforcement
On June 27, 2024, the Supreme Court issued its opinion in Securities Exchange Commission v. Jarkesy. The Court held that the Seventh Amendment entitles a defendant to a jury trial…
SEC Actions
Trends in SEC Enforcement: 1Q 24 Part III
BLOG POSTS Trends in SEC Enforcement: 1Q 24 Part III This third part of the series focused enforcement actions filed during the first quarter of 2024 focuses on significant cases…
SEC Actions
SEC Enforcement Trends: First Quarter 2024, Part II
This is the second installment of a four part series on trends in SEC enforcement reflected in the actions filed during the first quarter of 2024. Part I of this…
FCPA Professor
Quotable
By Mike Koehler
“What is an internal accounting controls violation? Anything that the SEC staff thinks—and three out of five Commissioners agree—is a righteous case and to which a public company is willing…
SEC Actions
SEC Enforcement Trends: First Quarter 2024, Part I
This is one of a series that analyzing trends in SEC enforcement on a quarterly basis. The series traces back to the beginning of 2020, identifying the types and numbers…
The SEC Institute Blog
Enforcement Timing – Company Versus Auditor Time Lag
In this blog post we explored the almost two-year time lag between an SEC enforcement against a company and a related enforcement against the company’s auditor. In a pair of…
Public Chatter
SEC Enforcement: 5 Takeaways from “SEC Speaks”
By Broc Romanek
Here's a Client Update that lists five takeaways from the SEC Enforcement Staff at the recent PLI "SEC Speaks" conference. Here's an excerpt with one of those takeaways: "Focus on…
SEC Actions
Trends in SEC Enforcement – 4Q23: Part IV, Conclusion
This is the concluding segment of a four part series analyzing trends in SEC Enforcement during 2023. Part I of this series focused on the number of cases filed during…
SEC Actions
Trends in SEC Enforcement – 4Q23: Part III
This is the third part of a four of a four part series focused on trends in SEC Enforcement during the fourth quarter of 2023. The first part discussed metrics…
SEC Actions
Trends in SEC Enforcement – 4Q23: Part II
This is Part II of a four-part series analyzing trends in SEC Enforcement during the fourth quarter of 2023. Part I, published earlier this week, noted that during the quarter…