Tag: trends

I. Introduction Issues such as the never-ending pandemic continue to impact back to the office for all, including the Commission’s Enforcement Division. To date agency staff continue to work from home. Testimony continues to be taken largely on Webex rather …

Trends in SEC Enforcement: 2Q22 Statistics and Beyond Read More »

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This is the concluding segment of a three part series focused on the actions filed by the Commission during 4Q21. Part I categorized the actions brought by the Division of Enforcement during 4Q21(here). Part II provided examples of the actions …

SEC Enforcement: 4Q21 (Part III) Read More »

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