Tag: disgorgement

Three Key Issues for SEC Enforcement

SEC Chairman Clayton identified significant issues for the SEC enforcement program in his Keynote Remarks to the Mid-Atlantic Regional Conference of the Commission’s federal and state partners in Philadelphia, Pa. last week (here). One point he identified involves the Supreme

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The Future Course of SEC Enforcement

During the current partial government shutdown when few SEC Enforcement actions are being filed or settled it may be a good time to begin considering the future of the program. The Division has repeatedly announced that its focus is retail

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