The Enforcement Division of the Securities and Exchange Commission (Division) released its Annual Report on November 2, 2020, providing information concerning its activities over the past fiscal year and outlining key...more
11/23/2020
/ American Depository Receipts (ADRs) ,
Annual Reports ,
Coronavirus/COVID-19 ,
Disgorgement ,
Enforcement Actions ,
Enforcement Statistics ,
Infectious Diseases ,
Kokesh v SEC ,
Liu v Securities and Exchange Commission ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Steering Committees ,
Trading Suspension ,
Whistleblowers
The Enforcement Division (Division) of the Securities and Exchange Commission released its Annual Report on November 6, 2019, summarizing the year’s enforcement activity. It was a record-setting year for the Division due to...more
12/3/2019
/ Annual Reports ,
Appointments Clause ,
Asset Management ,
Civil Monetary Penalty ,
Conflicts of Interest ,
Corporate Executives ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Financial Institutions ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investment Companies ,
Investor Protection ,
Kokesh v SEC ,
Lucia v SEC ,
Publicly-Traded Companies ,
Restitution ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Share Class Selection Disclosure Initiative (SCSD) ,
Statute of Limitations ,
Suspensions & Debarments ,
Whistleblowers