Month: November 2021

Cornerstone Research and the NYU Pollack Center issued their annual report titled SEC Enforcement Activity: Public Companies and Subsidiaries for 2021 (here). The Report identifies trends in a subsection of the actions filed by the Commission. Cases: Not surprisingly the …

SEC Enforcement: Public Companies and Subsidiaries Read More »

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Market professionals are a current focus of Commission enforcement actions. While this is consisted with the “gatekeeper focus” mentioned by Chair Gensler recently, it is hardly new. A focus on gatekeepers as a way to leverage scarce resources traces to …

SEC Files Action Against Gatekeeper Read More »