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SEC Enforcement Division Releases 2020 Annual Report: COVID-19 Impacts Enforcement as Whistleblower Program Boosts Enforcement

USA - November 20 2020 The Enforcement Division of the Securities and Exchange Commission (Division) released its Annual Report1on November 2, 2020, providing information...

Mark D. Perlow, Anthony S. Kelly, Lindsay E. Ray, Catherine Botticelli, Dennis Lawson.

The Supreme Court Affirms, But Limits, The SEC’s Disgorgement Authority

USA - July 6 2020 The Supreme Court issued its Opinion in Liu v. SEC1 on June 22, 2020, confirming but curtailing the Securities and Exchange...

Mark D. Perlow, Michael H. McGinley, Anthony S. Kelly, Catherine Botticelli, Dennis Lawson.

OCIE Releases 2020 Examination Priorities

USA - January 31 2020 The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and E...

Paul S. Stevens, Jr, K. Susan Grafton, Mark D. Perlow, Anthony S. Kelly, Nicholas Sanville, Kathleen Hyer, Brenden P.Carroll, Michael L. Sherman, Catherine Botticelli.

CFTC’s Enforcement Division Releases 2019 Annual Report

USA - December 15 2019 The CFTC’s Division of Enforcement (Division) released its Annual Report on November 25, 2019, summarizing the Division’s activities over the past...

Mark D. Perlow, Anthony S. Kelly, Catherine Botticelli, Dennis Lawson.

SEC Enforcement Division Releases 2018 Annual Report

USA - November 30 2018 On November 2, 2018, the SEC Enforcement Division (“Division”) released its Annual Report summarizing the past year’s enforcement activity. In the...

Mark D. Perlow, Joseph Fazioli, Catherine Botticelli, Dennis Lawson.