SEC Enforcement
Enforcement and Litigation - SEC.gov
Enforcement and Litigation. The SEC's civil law enforcement authority enables the Commission to hold violators of the federal securities laws ...
Division of Enforcement - SEC.gov
Vigorously enforces the federal securities laws to protect investors and maintain the integrity of the markets.
SEC Action Lookup - Individuals (SALI)
Enforcement & Litigation · Litigation Releases · Administrative Proceedings · Administrative Law Judge Orders and Initial Decisions · Trading Suspensions ...
Introduction. 1.1 Purpose and Scope. The Enforcement Manual (“Manual”) is a reference for staff in the Division of. Enforcement (“Division” or ...
SEC ACTIONS – A blog covering SEC investigations, Civil and ...
A blog covering SEC investigations, Civil and Criminal enforcement Actions, Internal investigations and Related matters.
Trends in SEC enforcement actions - PwC Viewpoint
The SEC actively pursued close to 800 enforcement actions against individuals and corporations for violations of securities laws, which is a 12% increase over ...
SEC Enforcement Toolkit | Practical Law - Westlaw
Resources to help counsel effectively represent clients in SEC investigations and enforcement proceedings. This Toolkit contains resources focused on ...
SEC Enforcement (@SEC_Enforcement) / X
SEC's Division of Enforcement. Submit tips and complaints: https://t.co/m6WtS6RMEx. Disclaimer: https://t.co/qfwx4ibWHg.
E-mail Updates ; Oct. 31, 2024, JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions, 2024-178 ; Oct. 30, 2024, SEC Announces New Members ...
Securities Litigation & SEC Enforcement | Practices - Jones Day
A core group of our lawyers is devoted to defending companies and their directors and officers against claims under federal and state securities laws.
Securities Enforcement - Gibson Dunn
The firm is at the forefront of the ever-changing SEC enforcement and regulatory regime, representing clients in all aspects of securities law enforcement.
SEC & Regulatory Enforcement - Latham & Watkins LLP
Overview. Latham draws on deep experience with the US Securities and Exchange Commission (SEC) and other financial regulators to guide clients through inquiries ...
SEC Division of Enforcement: What It Is, How It Works - Investopedia
The Division of Enforcement is the SEC's primary investigative arm, thus playing a crucial role in preserving the integrity of US financial markets.
SEC Enforcement | Experience | Haynes and Boone, LLP
Haynes Boone's lawyers have a broad base of experience in defending SEC enforcement actions and investigations ranging from inquiries into accounting practices ...
SEC Cryptocurrency Enforcement - Cornerstone Research
SEC Cryptocurrency Enforcement. The SEC continued to view cryptocurrency-related enforcement as a top priority, bringing 46 enforcement actions against various ...
The SEC continues to devote increased resources and energy to oversight and enforcement efforts related to hedge funds and their managers.
SEC Enforcement Actions | ESG Litigation & Enforcement Tracking
The SEC has issued a stay of its climate-related disclosure rules that were promulgated on March 6, 2024.
SEC Enforcement Heats up on Key Public Company Topics
Cyber Disclosure Enforcement Actions. On October 22, 2024, the SEC announced charges against four companies for making materially misleading ...
Types of SEC Enforcement Action - Federal Lawyer
Civil Securities Litigation Pursued by the SEC · Civil fines and penalties, sometimes including treble damages · Restitution payments or disgorgement · Far more ...
Trio of SEC Enforcement Actions Underscores Importance of Internal ...
The cases underscore the importance of establishing and maintaining effective systems of internal control over financial reporting.