Kyle Swan

Mayer Brown

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SEC Enforcement Annual Report FY2020: Key Takeaways and Trends

On November 2, 2020, the U.S. Securities and Exchange Commission (“SEC”) Division of Enforcement staff published its annual enforcement report for fiscal year 2020. This has been an unprecedented year, including for the SEC’s...more

11/11/2020  /  Annual Reports , Broker-Dealer , Corporate Counsel , Enforcement Actions , Enforcement Statistics , Securities and Exchange Commission (SEC) , Securities Violations
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