All SEC Enforcement articles
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ArticleSEC enforcement report: Total actions down in FY2021; first-of-their-kind cases up
The number of total enforcement actions filed by the Securities and Exchange Commission fell 3 percent in fiscal year 2021, according to the agency’s annual enforcement report.
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Article
SEC enforcement head seeking company admissions in settlements
Gurbir Grewal, head of the SEC’s Enforcement Division, said it will be a priority under his tenure for companies to accept responsibility for wrongdoing in certain cases of public interest.
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Article
SEC’s Gurbir Grewal stumps for proactive compliance in first speech
In his first publicized speech as director of the Securities and Exchange Commission’s Division of Enforcement, Gurbir Grewal spoke to the importance of “modeling excellence” in compliance efforts.
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Article
SEC appoints Sanjay Wadhwa as enforcement deputy director
The SEC named veteran attorney Sanjay Wadhwa deputy director of its Enforcement Division. Wadhwa most recently managed 150 personnel as co-head of enforcement at the agency’s New York office.
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Article
SEC tabs New Jersey AG Gurbir Grewal as enforcement head
The SEC announced the appointment of New Jersey Attorney General Gurbir Grewal as director of its Enforcement Division. He is the second individual to be named to the position in three months after the first pick resigned.
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Article
New SEC enforcement head Alex Oh resigns for personal reasons
Alex Oh resigned as head of the Securities and Exchange Commission’s Enforcement Division for personal reasons after less than one full week on the job.
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Article
SEC appoints Alex Oh to lead Enforcement Division
The Securities and Exchange Commission has named Alex Oh to lead an Enforcement Division expected to be more aggressive under new Chair Gary Gensler.
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Article
SEC expands number of staffers authorized to launch investigations
The acting head of the Securities and Exchange Commission has expanded the number of staff authorized to issue a formal order of investigation, perhaps a sign the agency intends to launch more cases under President Joe Biden.
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Article
Acting enforcement head Marc Berger to depart SEC
Marc Berger, who has served as acting director of the Division of Enforcement at the SEC for a few short weeks, will leave the agency later this month.
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Article
SEC enforcement head Avakian to step down by year’s end
Stephanie Avakian, who led the Division of Enforcement at the Securities and Exchange Commission for the past four years, announced she will leave at the end of the year.
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Article
SEC enforcement priorities under Biden: Reading the tea leaves
Careful consideration as to what new tone, direction, and priorities the SEC’s Division of Enforcement will take under Joe Biden can help you reduce compliance risk.
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Article
SEC’s 2020 priorities can be gleaned from 2019 trends
Companies would be wise to study the SEC’s annual enforcement report and avoid becoming one of the ever-increasing number of enforcement actions the Commission doles out yearly for misconduct.
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Article
Five-year limit placed on SEC disgorgement penalties
The SEC must rethink how it collects billions of dollars through disgorgement now that the Supreme Court has imposed a five-year statute of limitations.
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Article
Under new leadership, which way will the SEC go?
Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
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Article
When a Board Member Goes Bad
Image: Investigations into rumors of misconduct are part of a compliance officer’s job. Seldom, however, is the task as delicate as when investigating a board member. “You need to think about making decisions knowing that the facts may end up completely different, once it is all done,” Adam Frankel, general ...
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Article
Dueling Views on SEC Enforcement
Image: A chronic dilemma for the SEC Enforcement Division is how best to focus its efforts given resource constraints. Enforcement Director Andrew Ceresney had to answer for how those decisions are made during a meeting of the Investment Advisory Committee last week. Despite calls to abolish the “broken windows” approach, ...
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Blog post
Gleaning Enforcement Insights From Accounting Missteps
A confession from Compliance Week columnist Robert Herz: He spends time each summer reading Accounting & Auditing Enforcement Releases the SEC publishes as part of its enforcement against corporate misconduct. This week, Herz looks over the various AAERs of the last 12 months to pluck out common themes: more enforcement ...
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Blog post
Aguilar Sounds Off on CCO Liability Again
Image: More shots fired this week in the continuing war of words at the SEC about whether the agency is unfairly taking enforcement action against chief compliance officers. This time, Commissioner Luis Aguilar defended the agency with a statement calling for the SEC to be more clear in its enforcement ...
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Blog post
SEC's Erin Schneider Named Associate Regional Director in San Francisco
The SEC has named Erin E. Schneider as the new Associate Regional Director for enforcement in its San Francisco office. As Associate Regional Director, Schneider will lead the team of attorneys, accountants and other professionals who investigate and litigate the San Francisco office’s enforcement efforts for Northern California and the ...
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Blog post
SEC Announces 2015 Examination Priorities
The SEC has released its examination priorities for 2015. The list includes cyber-security controls and assessing anti-money laundering efforts, with a focus on firms that have not filed suspicious activity reports or have incomplete or late filings. SEC staff will also examine proxy advisory service firms, assessing how they make ...
