Retail, Remedies, Resources and Results: Observations From the SEC Enforcement Division 2018 Annual Report

Posted by Robin Bergen, Matthew Solomon, and Alexis Collins, Cleary Gottlieb Steen & Hamilton LLP, on Saturday, November 24, 2018 Editor's Note: Robin Bergen and Matthew Solomon are partners and Alexis Collins is a senior attorney at Cleary Gottlieb Steen & Hamilton LLP. This post is based on a Cleary Gottlieb memorandum by Ms. Bergen, Mr. Solomon, Ms. Collins, Anne Titus Hilby, and Adam Motiwala. On November 2, the SEC’s Enforcement Division released its annual report detailing the facts and figures of its enforcement efforts in fiscal year 2018. At first blush, this year’s report looks strikingly similar to those from recent years, as the headline numbers in most categories are nearly indistinguishable from 2015, 2016, and 2017. This consistency may be surprising given that 2018 is the first such report reflecting exclusively the enforcement priorities of the Commission since it was…

Read more detail on Recent Business Law posts –

This entry was posted in Business law and tagged , , , , , , , , , . Bookmark the permalink.

Leave a Reply