Year: 2021

Introduction Part I of this article provided an overview of the actions brought by the Commission’s enforcement program during the third quarter of calendar year 2021 or the fourth quarter of the government fiscal year. During that period the program …

SEC Enforcement: A Review of 3Q21 (Part II) Read More »

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Introduction The new Director of the Enforcement Division, Gurbir Grewal, assumed his position during the Third Quarter of 2021. Even if he hits the ground running it typically takes time to adjust to the environment. Mr. Grewal brings a substantial …

SEC Enforcement: A Review of 3Q21 (Part I) Read More »