Tag: SEC statistics

In the last two years SEC Enforcement has filed record numbers of cases. This is a significant accomplishment. A critical question about those statistics, however, is the composition of the case load. Stated differently, in what areas is the newly …

Trends In SEC Enforcement Read More »

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The SEC is on pace to settle a record number of enforcement actions, according to a new report released by NERA Economic Consulting (here). This trend is being driven by a marked rise in the number of actions against individuals, …

Trends In SEC Enforcement Actions: Focus On Individuals, Insider Trading Read More »

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