SEC Division of Enforcement Details Restructuring, Priorities; Talks Cooperation, Settlements and WhistleblowersDouglas J. Davison
It is difficult to know how the Division’s priorities in 2020 will compare with 2021. A new SEC Chair and senior staff may seek to be more aggressive in certain areas, such as cases against larger public companies and financial services firms, including in the penalties they as...
Division of Enforcement: Litigation Enforcement Trends and Priorities for 2016 Speakers from the Division of Enforcement (the "Division"), including Andrew Ceresney, Director of the Division, discussed the Division's recent cases as well as the Division's priority areas for 2016, which include cybe...
On October 21, 2024, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) published its 2025 examination priorities (“Exam Priorities”). Although President-elect Trump has pledged to dismiss SEC Chair Gary Gensler on “day one” and significant changes are...
Five principles Gensler expects the SEC Division of Enforcement to considerEconomic realities The SEC brought significant enforcement actions in 2023 that highlighted cybersecurity failures by companies and officers to comply with obligations around record-keeping and safeguarding customer information. Grewal...
In FY 2021, the Division adjusted to the priorities and pace of the newly appointed SEC chair and repeatedly emphasized its pro-enforcement stance. The Division also demonstrated a willingness to pursue novel legal theories, as shown in the DeFi Money Market,23dark web insider tradin...
As always, firms should pay close attention to the 2025 Exam Priorities, as they may suggest sweep examination programs, as well as future priorities of the Enforcement Division and other actions. Attachments GT Alert_SEC Division of Examinations 2025 Priorities ...
The conference also included a panel featuring members of the Division of Enforcement (the “Division”). This panel commenced with a substantive statement from Director Grewal and then briefly touched on priorities and highlights from across a wide range of enforcement areas. ...
TheDivision of Enforcementinvestigates securities law violations and initiates civil and criminal actions. It also prosecutes civil suits in federal courts and handles administrative proceedings. TheDivision of Economic and Risk Analysisprovides the data analytics the SEC needs to pursue its mission. Its ...
5. Division of Enforcement Created in 1972 to centralize the SEC’s enforcement actions, this division investigates securities law violations. With evidence from market surveillance and investor reports, it initiates legal actions where needed, sometimes resulting in recovered assets for defrauded investors...