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SEC Enforcement Priorities and Trends  (Volume 53, Number 16–September 30, 2020)


Author:  Jeffrey T. Scott.


Source: Volume 53, Number 16, September 15 2020 , pp.189-200(12)




Review of Securities & Commodities Regulation

Abstract: 

In this article, the author discusses the priorities of the SEC’s Division of Enforcement and enforcement trends as reflected by the types and volume of enforcement actions brought by the Division during the SEC’s last two fiscal years. The author also offers practice pointers on the handling of SEC enforcement investigations in light of the SEC’s priorities.

Keywords: Kokesh v.SEC; Protecting “Main Street Investors;” Public Company Enforcement Actions; Emphasis on Individual Accountability

Affiliations:  1: Sullivan & Cromwell LLP.

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