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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


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.

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