Earlier this year the SEC’s Enforcement Division published its annual report, reviewing FY 2019 which ended on September 30, 2019. As in the past, the Report reviewed not just the statistics from the year but also the entire program and …

SEC Enforcement Statistics From Cornerstone and NYU Read More »

The SEC reiterated the new retail investor/cyber focus for its Enforcement Division while publishing the statistics for the Division’s work for the last fiscal year. The report attempts to put a group of statistics showing that overall fewer stand-alone enforcement …

SEC Enforcement: A New Approach – A Year in Statistics Read More »