SEC Enforcement Actions Decline in 2020
Securities Lawyer 101 According to the annual report published by the Division of Enforcement of the U.S. Securities and Exchange Commission (the "SEC"), there were 715 overall enforcement actions in...
View ArticleJay Clayton won’t be sitting on his hands during his last month as the SEC Chair
Securities Lawyer 101 On November 16, 2020, Jay Clayton, Chairman of the Securities and Exchange Commission, announced that he would be stepping down at the end of the year after 3 years and 238 days...
View ArticleSEC Whistleblower – Dodd Frank Revisions to be Proposed
Securities Lawyer 101 On August 2, 2021, Gary Gensler, the new chair of the Securities and Exchange Commission (SEC), announced that because he wasn’t entirely pleased with the amendments to the rules...
View ArticleSEC Amends Whistleblower Rules to Incentivize Whistleblower Tips
Securities Lawyer 101 On August 26, 2022, the Securities and Exchange Commission adopted two amendments to the rules governing its whistleblower program. The first rule change allows the Commission to...
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