Topic
sec enforcement
251 published works
The Firewall
SEC Enforcement Against SolarWinds and Its CISO: Time to Freak Out?
The SEC has been on a cybersecurity tear in 2023, instituting new rules on disclosures of cybersecurity events and threat assessments. But not wanting to let go of the past,…
FCPA Professor
When Rhetoric Does Not Match Reality
By Mike Koehler
Do SEC enforcement officials realize that words they speak often are contradicted by the reality of SEC’s enforcement program? For instance, SEC Chair Gary Gensler (pictured) recently gave this speech…
Public Chatter
The Latest SEC Enforcement Trends
By Broc Romanek
Here's a Client Update about a recent conference in which senior SEC Enforcement Staffers discussed the increase in whistleblower tips and the invaluable assistance that whistleblowers provide to the SEC's…
SEC Actions
Trends In SEC Enforcement 1Q23, Conclusion
Background: This is the concluding segment of a four-part series on trends in SEC enforcement during the first quarter of 2023. The first part of the series was published on…
SEC Actions
Trends in SEC Enforcement: 1Q23, Part III
This is the third segment of a four part series on trends in SEC enforcement during the first quarter of 2023. The first part of the series was published on…
SEC Actions
Trends in SEC Enforcement: 1Q23, Part II
This is the second part of a series focused on the cases filed by the SEC during the first quarter of 2023. The first segment was published on Tuesday, August…
SEC Actions
div>Trends in SEC Enforcement: 1Q23, Part I
This is the first of a series of articles examining the actions cases by the SEC during the first quarter of 2023. Subsequent segments in the series will provide examples…
The Securities Law Blog
SEC Charges Audit Firm Marcum LLP for Widespread Quality Control Deficiencies
The Securities and Exchange Commission today charged audit firm Marcum LLP with systemic quality control failures and violations of audit standards in connection with audit work for hundreds of special…
FCPA Professor
On SEC Enforcement …
By Mike Koehler
This recent FCPA Blog post titled “Supreme Court Challenges Shake Foundation of FCPA Enforcement at the SEC” asserts: “Complaints about the way the SEC brings and resolves nearly all of…
SEC Actions
Trends in SEC Enforcement: 2022 – A Cop on Every Corner – Conclusion
The year 2022 was good by any measure for SEC Enforcement. To be sure limitations imposed on the investigative process by the great COVID pandemic persisted. Investigative testimony was taken…