This is the third segment of a four part series on trends in SEC enforcement during the first quarter of 2023. The first part of the series was published on Tuesday August 22, 2023 (here). It provided an overview of …

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The pace of filing new enforcement cases slowed to a drizzle last week. Only two new actions were filed. Perhaps it was the approach the end of summer/back-to-school period or the hurricane moving into LA at the same time the …