‘Enforcement 40’ for 2020
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By Securities Docket on March 12, 2023, 10:00 am
During Chair Gary Gensler’s and Director of Enforcement Gurbir Grewal’s second year of leadership, several key enforcement priorities came into focus that will impact businesses across sectors. In this year in review, we highlight important takeaways for business leaders and in-house counsel from the Division’s activities in 2022, and what these activities mean for the […]
By Securities Docket on December 28, 2022, 9:38 am
The U.S. Securities and Exchange Commission recently announced the Division of Enforcement’s results for fiscal year 2022, the first full year for the Division under the leadership of both Chair Gary Gensler and Director of Enforcement Gurbir Grewal. Results were up from the year before, with a record $4.2 billion in civil penalties reflecting the […]
By Securities Docket on January 14, 2022, 12:28 pm
Please join Bill McLucas, Doug Davison, Marty Wilczynski and Steve Richards for this free webcast.
By Securities Docket on December 29, 2020, 6:41 pm
Please join panelists Bill McLucas, Doug Davison, Marty Wilczynski and Jason Flemmons for this free webcast.
By Securities Docket on January 6, 2020, 8:46 am
The liability environment for directors and officers is always in a state of change, but 2019 was a particularly eventful year in the D&O liability arena, with important consequences for the D&O insurance marketplace. The past year’s many developments have significant implications for what may lie ahead in 2020 – and possibly for years to […]
By Securities Docket on November 14, 2019, 10:59 am
Please join Bill McLucas, Doug Davison and Marty Wilczynski for this free webcast.
By Securities Docket on January 8, 2019, 8:53 am
The world of directors’ and officers’ liability is always dynamic, but 2018 was a particularly eventful year in the D&O liability arena. The past year’s many developments have significant implications for what may lie ahead in 2019 – and possibly for years to come. I have set out below the Top Ten D&O Stories of […]
By Securities Docket on January 12, 2018, 11:53 am
The coming year will continue to be a transitional period for the Enforcement Division. While it appears the new era will be marked mostly by consistency with past enforcement programs, we should expect to see a moderate decline in the number of enforcement actions, as well as changes in enforcement priorities. We should also expect […]
By Securities Docket on January 4, 2018, 4:30 pm
The securities litigation and regulatory landscape in 2017 defies simple categorization. Plaintiffs filed 226 new federal class actions in the first half of 2017, more than double the average rate over the last 20 years, and an additional 99 federal class actions in the third quarter of 2017. In contrast, new SEC enforcement proceedings declined. […]