‘Enforcement 40’ for 2020
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By Securities Docket on November 13, 2019, 11:57 am
Guest columnist Jordan Thomas breaks down the recently-released 2019 Annual Report of the SEC’s Division of Enforcement.
By Securities Docket on November 7, 2019, 8:59 am
The Securities and Exchange Commission brought a diverse mix of 862 enforcement actions in fiscal year 2019, of which 526 were “standalone” actions of which the plurality, 36%, involved advisory and investment company issues. The securities regulator’s enforcement division notes in its just-released annual report that it also obtained judgments and orders totaling more than […]