Tag: SEC enforcement

The year 2022 was good by any measure for SEC Enforcement. To be sure limitations imposed on the investigative process by the great COVID pandemic persisted. Investigative testimony was taken by remote, not sitting across a conference room table from …

Trends in SEC Enforcement: 2022 – A Cop on Every Corner – Conclusion

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The U.S. Chamber of Commerce published a report regarding the enforcement practices of the SEC titled “Examining U.S. Securities and Exchange Commission Enforcement: Recommendations on Current Processes and Practices, July 2015” (here). The Report contains twenty-nine recommendations for improving the …

The U.S. Chamber On SEC Enforcement Read More »

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