Year: 2022

Ratings from a nationally recognized statistical rating organization or NRSRO registered with the Commission can have a significant influence of the sale of products such as residential mortgage backed securities. It is for that reason that Congress in Dodd Frank, …

Conflicts Draws Sanctions for Rating Agency Read More »

Tagged with: ,

The Commission filed its annual tabulation of Enforcement statistics in a Release dated November 15, 2022 (here). The array of statistic compiled in FY 2022 provides insight into the work of the Enforcement Division over the past year. Key topics …

SEC Enforcement Statistics FY 2022 Read More »

Tagged with: ,