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 »

Cornerstone Research and NYU Pollack Center for Law and Business published their annual report on statistics and trends in SEC Enforcement actions involving public companies and subsidiaries on November 17, 2022 (here). The Report details a range of statistics that …

Cornerstone-NYU on SEC Public Company and Subsidiary Cases Read More »