Year: 2017

The Commission’s recently released report on the Enforcement Division identified retail investors and cyber as key areas of emphasis for Enforcement under Chairman Clayton. Examples of the retail focus are actions involving microcap stocks and frauds as well as those …

SEC Claims Individual, Firm Engaged In Unregistered Dealer Business Read More »

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The SEC published its statistics for the last fiscal year in a glossy report centered on a discussion of the new retail/cyber focus of the Enforcement Division. Statistics are not the sole measure of success the agency stated. Select statistics …

SEC Enforcement: Another Look At Last Fiscal Year Read More »

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