Year: 2022

Part I of this series, which was divided into two areas, presented the overall case statistics for the third quarter of 2022. During that the Division of Enforcement filed a total of 202 new cases. The majority of those cases …

SEC Enforcement 3Q22 – A “Cop on Every Corner” Presence in the Market, Part II Read More »

I. Introduction While the pandemic continues, relegating Washington D.C. to a shadow of what the city once was like, it is not hindering the filing of new cases by the Commission. The SEC Headquarters office may be largely empty; Chair …

SEC Enforcement 3Q22 – A “Cop on Every Corner” Presence in the Market – Part I Read More »

Tagged with: ,