SEC Enforcement Actions & Administrative Proceedings
SEC enforcement actions and administrative proceedings play a critical role in maintaining the integrity of the financial markets. These actions address violations of securities laws, protect investors, and ensure compliance among issuers, brokers, and investment advisors.
Over the past several years, both the Securities and Exchange Commission ( SEC ) and the Financial Industry Regulatory Authority ( FINRA ) have intensified enforcement in the OTC Markets . The focus has shifted sharply toward broker-dealer gatekeeper…
Read MoreReceiving a Securities and Exchange Commission (“SEC”) subpoena is a new and uncomfortable experience for most market participants. A SEC subpoena is an indication that the Division of Enforcement is investigating potential violations of the federal …
Read MoreOn November 22, 2024, the Securities and Exchange Commission announced that it filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history. The 583 enforceme…
Read MoreSecurities and Exchange Commission (the “SEC”) investigations can result from a variety of factors. SEC investigation s can be triggered in various ways, including during the SEC’s routine review of SEC reports and schedules, routine inspections by F…
Read MoreNo company wants to become the target of a Securities and Exchange Commission (“SEC”) investigation, and no investor welcomes an inquiry into a stock he holds. Issuers and shareholders alike need to understand how an investigation begins, how it proc…
Read MoreFor those interested in SEC enforcement actions and administrative proceedings, the articles below offer valuable insights into the regulatory process, notable cases, and legal considerations. Explore these resources to gain a deeper understanding of how the SEC enforces securities laws and the impact of its actions on issuers, advisors, and investors.
