Topic
sec enforcement
251 published works
SEC Actions
Trends in SEC Enforcement – 4Q23: Part I
Introduction Understanding the trend of SEC enforcement is an important consideration for virtually any business. From public companies, whose shares are registered with the agency and whose reports are…
SEC Actions
Trends in SEC Enforcement 3Q23 – Part IV, Conclusion
The work of the SEC Enforcement Division during the third quarter of 2022 is impressive. The numbers and cases initiated during the period reflects a program reaching out to cover…
SEC Actions
Trends in SEC Enforcement 3Q22 – Part III
This is the third segment of a four-part series on SEC enforcement trends during the third quarter of 2023. The first Part of the series focused on the number of…
SEC Actions
Trends in SEC Enforcement 3Q22 – Part II
This is the second part of a series analyzing trends in SEC enforcement during the third quarter of 2023. The first part of the series (here) focused on the number…
SEC Actions
Trends in SEC Enforcement: 3Q23: Part I
Introduction This is the first installment of a four part series analyzing the trends in SEC enforcement during the third calendar quarter of 2023. The series will focus on the…
SEC Actions
Trends in SEC Enforcement: 2Q23 – Conclusion
This is the final installment of this series. The first installment focused on statistics for the second quarter of 2023, noting that 46 enforcement actions were filed by the SEC.…
SEC Actions
Trends in SEC Enforcement: 2Q23 – Part III
This is the third installment of this series. The first focused on statistics for the second quarter of 2023, noting that 46 enforcement actions were filed by the SEC. The…
SEC Actions
Trends in SEC Enforcement 2Q23 – Part II
The first installment of this series focused on statistics for the second quarter of 2023, noting that 46 enforcement actions were filed by the SEC. This second part of the…
SEC Actions
Trends in SEC Enforcement: 2Q23 – Part I
This is Part I of a four part series which analyzes trends in SEC enforcement during the second quarter of 2023. A previous series analyzed the trends during the first…
The Capital Commitment
2023 SEC Enforcement Results – Takeaways for Fund Managers
By Julia M. Ansanelli, Joshua M. Newville, Robert Pommer
On November 14, 2023, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2023. Below are some key takeaways for fund managers: The Commission brought 760 total…