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Tag: Enforcement

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SEC Touts Gains in Enforcement Actions in 2023

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As we prepare to flip the calendar to 2024, the tidal wave of announcements from federal agencies celebrating their yearly accomplishments has already started. The annual inundation of statistics often feels like a competition to see which...

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SEC Uses ‘Swiss Army’ Statute in $25 Million Fine for Violations on Stock Buybacks

Swiss Army knife as multi-use tool

Companies that alter their trading plans outside guidelines authorized by their boards should beware of the risk of heightened regulatory scrutiny from the Securities and Exchange Commission. The agency on November 14 announced that Charter...

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CCO Liability Becomes Hot Topic in Compliance Circles

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Speaking at a New York City Bar Association event last month, the director of the Securities and Exchange Commission Division of Enforcement opened his remarks with a warning about the eroding levels of public trust in institutions across t...

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September SEC Enforcement Spike: Four Key Areas to Watch

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Much like the cliché of a local police force ramping up patrols to meet its quarterly quota of speeding tickets, the Securities and Exchange Commission is yet again closing out its fiscal year with a spike of September enforcement actions....

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SEC Shows “Burying” Bad News Isn’t Just the Domain of Corporate Interests

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Recently, we broke down some of the public relations games that companies have been known to play when they have bad news to report. For example, they might issue a press release on benign developments the same day they disclose damaging in...

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