Home      Login


Issuer Reporting and Disclosure: The State of SEC Enforcement  (Volume 52, Number 6–March 20, 2019)


Author:  David Woodcock.; Alexandra Stanley.


Source: Volume 52, Number 06, March 15 2019 , pp.57-65(9)




Review of Securities & Commodities Regulation

Abstract: 

Taking their cue from the SEC’s 2018 Annual Report, the authors discuss how the SEC’s changing priorities have resulted in a decline in issuer reporting and disclosure cases. They find that while such cases may no longer be a top priority, certain types remain important. And they suggest that a variety of factors — apart from shifting SEC priorities—may be responsible for part of the decline.

Keywords: Individual Accountability; Risk-Based Enforcement Prioritization

Affiliations:  1: Jones Day; 2: Jones Day.

Subscribers click here to open full text in PDF.
Non-subscribers click here to purchase this article. $99