Tag: Enforcement
SubscribeFour New Enforcement Themes Emerge at SEC
Last month, we highlighted some of the significant trends in enforcement at the Securities and Exchange Commission as the agency’s fiscal year drew to a close. We’ve picked up on four new enforcement themes since then that are worth monitor...
Read MoreThree Noteworthy Trends from SEC’s Latest Enforcement Push
September is the month when temperatures start dropping, leaves start turning, and the Securities and Exchange Commission starts enforcing. To be fair, the SEC enforces securities law all year round, but the agency has made the September fl...
Read MoreSEC Touts Gains in Enforcement Actions in 2023
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...
Read MoreSEC Uses ‘Swiss Army’ Statute in $25 Million Fine for Violations on Stock Buybacks
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...
Read MoreCCO Liability Becomes Hot Topic in Compliance Circles
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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