‘Enforcement 40’ for 2020
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By Securities Docket on November 24, 2017, 10:00 am
Several factors may have contributed to the decline. Some have attributed it to the change in presidential administrations, which resulted in a change in top SEC leadership. For instance, a recent Cornerstone Research publication noted that after SEC Chairman Jay Clayton’s appointment, the number of enforcement actions against public companies dropped precipitously. On the other […]
By Securities Docket on November 24, 2017, 9:59 am
In case you missed it, the U.S. Securities and Exchange Commission examiners in Boston, Mass. have been showing up at registered investment advisors’ offices unannounced to conduct “surprise” examinations. via Surprise! The SEC Is Here! Are You Prepared?
By Securities Docket on November 24, 2017, 9:53 am
The hack of the U.S. Securities and Exchange Commission’s corporate-filing database likely involved Eastern European criminals who may have been perusing market-moving information stored in the regulator’s network for months, according to two people with knowledge of the matter. via SEC Hack Likely to Involve Eastern European Criminals – Bloomberg